SEC Form 4 reporting owner

Baes Nicholas

Baes Nicholas has filed 5 Form 4 transactions reported between April 6, 2026 and September 23, 2026, as Chief Operating Officer of Bakkt, Inc..

Name as filed: Baes Nicholas

Open-market buys, 24 mo

None

reported

Open-market sales, 24 mo

$50K

4 lines

Companies

with Form 4 filings

Latest transaction

Sep 23, 2026

transaction date

Roles and reported holdings

BKKTBakkt, Inc.
Apr 6, 2026 – Sep 23, 2026
Chief Operating Officer
Held directly104,103 sh as of Sep 23, 2026 · Form 4
24 months: $50K sold

Transaction history

All 5 reported transactions, newest first. Every row links to the Form 4 on SEC EDGAR.

Date	Company	Type	Shares	Price	Value	Owned after	Filing
Sep 23, 2026	BKKTChief Operating Officer	Open-market saleCode S · directAlso reported by D'Annunzio Marc	1,272	$8.61	$11K@ $8.61	104,103	Form 4
Jun 25, 2026	BKKTChief Operating Officer	Open-market saleCode S · directAlso reported by D'Annunzio Marc	1,562	$7.93	$12K@ $7.93	105,375	Form 4
May 15, 2026	BKKTChief Operating Officer	Option exerciseCode M · direct	671	$10.00	$7K@ $10.00	106,937	Form 4
Apr 28, 2026	BKKTChief Operating Officer	Open-market saleCode S · direct	2,352	$9.13	$21K@ $9.13	106,266	Form 4
Apr 6, 2026	BKKTChief Operating Officer	Open-market saleCode S · direct	711	$7.56	$5K@ $7.56	101,312	Form 4

How this page is built

Every row comes from a Form 4 filed with the SEC, which officers, directors and holders of more than 10% of a company’s stock must file within two business days of a trade. Transactions are grouped by the reporting owner’s name as filed (spacing, capitals and punctuation ignored); two different people filing under an identical name would appear together, and one person filing under two spellings appears on two pages.

Open-market totals count code P purchases and code S sales over the last 24 months. The same trade reported on more than one filing is counted once; when another owner (for example a fund and its general partner) reports the identical trade, they are listed beside it. Holdings are the shares owned after the latest purchase, sale, gift or tax-withholding line, shown separately for direct and indirect ownership; an indirect figure is one holding line, not a total across every trust or entity.

This page describes what was filed with the SEC; it is not investment advice or a recommendation to buy or sell any security.