Home / Filing-delay notices (10-K) / Bakkt, Inc.
Filed 2026-03-17 路 Form NT 10-K 路 Accession 0001628280-26-018406 micro
Price before filing: $9.64 (2026-03-16 close, split/dividend-adjusted)
Market cap at flag: $128.9M (2026-03-17) 路 Latest: $230.2M (2026-10-16)
| Window | BKKT | SPY | vs SPY | |
|---|---|---|---|---|
| 30 days | -0.8% | +5.2% | -6.0% | 2026-04-16 |
| 90 days | -7.1% | +13.1% | -20.2% | 2026-06-15 |
| 180 days | -14.2% | +14.3% | -28.5% | 2026-09-14 |
| 1 year | pending | pending | until 2027-03-17 |
Return from the last close before the filing date to the first close on/after the window end. Pending windows have not fully elapsed. Past performance says nothing certain about the future.
90 days before the flag: 2 insiders sold $33K (2 sales)
30 days after: 2 insiders sold $98K (3 sales)
| Date | Insider | Type | Shares | Price | Value | 10b5-1 plan | Source |
|---|---|---|---|---|---|---|---|
| 2025-12-19 | Henderson Joseph Sean-Walsh Chief Accounting Officer | Sale | 2,461 | $10.01 | $25K | no | Form 4 |
| 2026-02-24 | D'Annunzio Marc General Counsel and Secretary | Sale | 785 | $10.09 | $8K | yes | Form 4 |
| 2026-03-17: red flag filed | |||||||
| 2026-03-27 | D'Annunzio Marc General Counsel and Secretary | Sale | 6,422 | $8.55 | $55K | yes | Form 4 |
| 2026-03-30 | D'Annunzio Marc General Counsel and Secretary | Sale | 5,342 | $7.08 | $38K | yes | Form 4 |
| 2026-04-06 | Baes Nicholas Chief Operating Officer | Sale | 711 | $7.56 | $5K | no | Form 4 |
Open-market purchases and sales (Form 4 codes P and S) by officers, directors and 10% owners, by transaction date, from 2025-12-17 to 2026-04-16. Excludes option exercises, grants, gifts and tax withholding. Amended filings replace the originals; joint filings count once. Foreign private issuers do not file Form 4. Many insider sales are pre-scheduled (10b5-1 plans) and are not by themselves a sign of wrongdoing.
The company filed Form NT 10-K, telling the SEC it could not file its annual report on time, and then filed the report within the 15-day extension. The SEC treats a report filed within the extension as timely, so this is the mildest kind of flag, but the notice itself is a warning sign that investors often react to: something, often the audit or the accounting, took longer than planned.
Status: filed within extension (report filed 2026-03-19) · the SEC treats a report filed within the extension as timely
Why this score: report filed within the extension on 2026-03-19
Read the original filing on SEC.gov →
🔔 Get email alerts for this company
Not investment advice. Automated summary; verify against the filing.
The week's most serious auditor changes, restatements, late filings and going-concern warnings, in plain English. Free. Unsubscribe anytime.
Subscribe to the newsletter →
The signup form didn't load here (often an ad or privacy blocker). This opens beehiiv's secure signup page.
Form not showing? Subscribe on beehiiv →
Newsletter delivered by beehiiv. See our privacy policy.