Mirgorodskaya Natalia's Form 4/A amendment
AmendedUpstart Holdings, Inc. (UPST) · filed Sep 17, 2021
- Accession no.
- 0001209191-21-056798
- Filed
- Sep 17, 2021
- Trade date
- Aug 31, 2021
- Filing delay
- 17 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Aug 24, 2021
This filing lists 1 non-derivative transaction. Open-market sales total $52.2K. It was filed 17 days after the trade.
This amendment replaces 0001209191-21-053251 (filed Aug 24, 2021).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Mirgorodskaya NataliaCIK 0001833851 | Officer (Corporate Controller) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 31, 2021 | Common Stock | SSaleDisposed | −234 | $223.04F3 | −$52,191.36 | 23,007 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
These shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units (RSUs).
- F2
The original Form 4 filed August 24, 2021 is amended to reflect (i) the stock sale occurred on August 31, 2021, not August 20, 2021, (ii) that 234 shares, not 267 shares, were sold, and (iii) the actual sale price of the shares.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.0101 to $223.07. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F4
Includes 1,637 shares acquired on August 18, 2021 under the Issuer's 2020 Employee Stock Purchase Plan.
- F5
Certain of these securities are RSUs. Each RSU represents a contingent right to receive one share of Common Stock, subject to the applicable vesting schedule and conditions of each RSU.