BAKKT SECURITIES SETTLEMENT

This official website is maintained by the Claims Administrator under the supervision of Lead Counsel for the members of the Settlement Class in the Action entitled, Howard v. Arconic Inc., et al., Case No. 2:17-cv-01057 (the “Settlement”), which is pending in the United States District Court for the Western District of Pennsylvania.

CLAIMANT IDENTIFICATION


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SCHEDULE OF TRANSACTIONS IN BAKKT SECURITIES


Please be sure to include proper documentation with your Claim Form as described in detail in the General Instructions. Do not include information regarding securities other than Bakkt Securities.

Common Stock


Opening- State total number of shares of Bakkt common stock held at the opening of trading on March 31, 2021

Purchases- Separately list below each and every purchase or acquisition of Bakkt common stock from March 31, 2021 through February 17, 2022, both dates inclusive

Purchases for Section 11 Recognized Loss Calculations - State the total number of shares of Bakkt common stock purchased from February 18, 2022 through and including April 20, 2022

Sales- Separately List each sale of Bakkt common stock from March 31, 2021 through April 20, 2022, both dates inclusive.

Closing- State total number shares of Bakkt common stock held at the close of trading on April 20, 2022.

Warrant Stock


Opening- State total number of shares of Bakkt Warrants held at the opening of trading on March 31, 2021

Purchases- Separately list below each and every purchase or acquisition of Bakkt Warrants from March 31, 2021 through February 17, 2022, both dates inclusive

Purchases for Section 11 Recognized Loss Calculations - State the total number of shares of Bakkt Warrants purchased from February 18, 2022 through and including April 20, 2022

Sales- Separately List each sale of Bakkt Warrants from March 31, 2021 through April 20, 2022, both dates inclusive.

Closing- State total number shares of Bakkt Warrants held at the close of trading on April 20, 2022.


CLAIM TRANSACTIONS



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Security Transaction Type Trade Date Quantity Price Total Amount Ticker Symbol Excercised? Y/N Exercised Date Proof of Purchase Enclosed Action




UPLOAD SUPPORTING DOCUMENTS


All supporting documentation for your positions and transactions should be uploaded to this page prior to moving on to the next step in your online claim submission.

Please use the browse option, by clicking on “Select Files” in the box below, to upload your supporting documentation being submitted to verify all of your positions and transactions.




Files To Be Uploaded Size Action

SUBMISSION TO JURISDICTION OF COURT AND ACKNOWLEDGMENTS

I (We) submit this Claim Form under the terms of the Stipulation and Agreement of Settlement dated April 12, 2023 (“Stipulation”) described in the Notice. I (We) also submit to the jurisdiction of the United States District Court for the Eastern District of New York, with respect to my (our) claim as a Settlement Class Member (as defined in the Notice) and for purposes of enforcing the release set forth herein. I (We) further acknowledge that I am (we are) bound by and subject to the terms of any judgment that may be entered in the Litigation. I (We) agree to furnish additional information to Lead Counsel and/or the Claims Administrator to support this claim if required to do so. I (We) have not submitted any other claim covering the same purchases, acquisitions, or sales of Bakkt Securities during the Class Period and know of no other person or entity having done so on my (our) behalf.

YOU MUST READ AND SIGN THE RELEASE BELOW

1. I (We) hereby acknowledge full and complete satisfaction of, and do hereby fully, finally and forever settle, release, relinquish and discharge all of the Released Plaintiffs’ Claims (including Unknown Claims) against each and all of the Defendants’ Releasees (including all Defendants), all as defined herein and in the Notice and Stipulation.

2. This release shall be of no force or effect unless and until the Court approves the Stipulation and it becomes effective on the Effective Date.

3. I (We) hereby warrant and represent that I (we) have not assigned or transferred or purported to assign or transfer, voluntarily or involuntarily, any matter released pursuant to this release or any other part or portion thereof and have not submitted any other claim covering the same purchases of Bakkt Securities and know of no other person or entity having done so on my (our) behalf.

4. I (We) hereby warrant and represent that I (we) have included all requested information about all of my (our) holdings of Bakkt Securities on the dates set forth above and my (our) purchases, acquisitions, and sales of Bakkt Securities during the time periods set forth above.

5. The Social Security (or taxpayer identification) number(s) shown on this form is (are) correct.

6. I (We) waive the right to trial by jury, to the extent it exists, and agree to the determination by the Court of the validity or amount of this claim, and waive any right of appeal or review with respect to such determination.

7. I (We) certify that I am (we are) NOT subject to backup withholding under the provisions of Section 3406(a)(1)(C) of the Internal Revenue Code.

(NOTE: If you have been notified by the Internal Revenue Service that you are subject to backup withholding, you must cross out Item 7 above.)

8. I (We) declare under penalty of perjury under the laws of the United States of America that the foregoing information supplied by the undersigned is true and correct.




ACCURATE CLAIMS PROCESSING TAKES A SIGNIFICANT AMOUNT OF TIME. THANK YOU FOR YOUR PATIENCE.

REMINDER CHECKLIST

1. Remember to sign the above Release and Certification.
2. If this claim is being made on behalf of Joint Claimants, then both must sign.
3. Remember to include only copies of acceptable supporting documentation. Failure to provide all the acceptable documentation and transactions requested may result in the rejection of your claim in part or in full.
4. Do not provide originals of securities certificates.
5. If your address changes in the future, or if these documents were sent to an old or incorrect address, please send us written notification of your new address.