Baes Nicholas — SEC Form 4 filings
SEC reporting owner CIK 2043681. 12 Form 4 filings on record with FilingPulse; latest filed 2026-06-29.
Transaction summary — filings shown
Covers all 12 filings on record, filed 2024-12-26 to 2026-06-29. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): none reported.
- Open-market sales (code S, non-derivative): 3 legs across 3 filings — 4,625 shares, $39,236 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 11.
- Largest priced transaction: sale of 2,352 shares @ $9.13 ($21,474) in Bakkt, Inc., filed 2026-04-29.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| Bakkt, Inc. (BKKT) | Chief Operating Officer | 12 | — | 3 legs · 4,625 sh · $39,236 | 11 |
Form 4 filings — Baes Nicholas
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-06-29 | 4 | Bakkt, Inc. (BKKT) | Sale (S): 1,562 @ $7.93 | EDGAR |
| 2026-05-19 | 4 | Bakkt, Inc. (BKKT) | Option exercise (M): 671 @ $10 · Option exercise (M): 671 (derivative) @ $0 | EDGAR |
| 2026-04-29 | 4 | Bakkt, Inc. (BKKT) | Sale (S): 2,352 @ $9.13 | EDGAR |
| 2026-04-08 | 4 | Bakkt, Inc. (BKKT) | Sale (S): 711 @ $7.56 | EDGAR |
| 2025-11-18 | 4 | Bakkt Holdings, Inc. (BKKT) | Tax withholding (F): 198 @ $21.61 | EDGAR |
| 2025-11-14 | 4 | Bakkt Holdings, Inc. (BKKT) | Option exercise (M): 671 @ $10 · Option exercise (M): 671 (derivative) @ $0 | EDGAR |
| 2025-11-04 | 4 | Bakkt Holdings, Inc. (BKKT) | Grant/award (A): 53,691 (derivative) @ $0 | EDGAR |
| 2025-09-29 | 4 | Bakkt Holdings, Inc. (BKKT) | Tax withholding (F): 810 @ $20 | EDGAR |
| 2025-04-30 | 4 | Bakkt Holdings, Inc. (BKKT) | Tax withholding (F): 2,528 @ $8.93 | EDGAR |
| 2025-04-15 | 4 | Bakkt Holdings, Inc. (BKKT) | Grant/award (A): 34,211 @ $0 | EDGAR |
| 2025-04-10 | 4 | Bakkt Holdings, Inc. (BKKT) | Tax withholding (F): 800 @ $9.08 | EDGAR |
| 2024-12-26 | 4 | Bakkt Holdings, Inc. (BKKT) | Grant/award (A): 49,907 @ $0 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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