Nicoll Alison's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Jan 14, 2022
- Accession no.
- 0001628280-22-000964
- Filed
- Jan 14, 2022, 4:56 PM ET
- Trade date
- Jan 12, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 10 non-derivative transactions and 1 derivative transaction. Open-market sales total $913.1K. It was filed 2 days after the trade.
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 |
|---|---|
| Nicoll AlisonCIK 0001833661 | Officer (General Counsel) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 12, 2022 | Common Stock | MOption exerciseAcquired | +7,500 | $0.43 | +$3,225 | 186,780 | Direct | |
| Jan 12, 2022 | Common Stock | SSaleDisposed | −731 | $117.93 | −$86,206.39 | 186,049 | Direct | |
| Jan 12, 2022 | Common Stock | SSaleDisposed | −772 | $119.02 | −$91,884.98 | 185,277 | Direct | |
| Jan 12, 2022 | Common Stock | SSaleDisposed | −1,868 | $120.21 | −$224,549.85 | 183,409 | Direct | |
| Jan 12, 2022 | Common Stock | SSaleDisposed | −1,100 | $121.09 | −$133,201.97 | 182,309 | Direct | |
| Jan 12, 2022 | Common Stock | SSaleDisposed | −499 | $122.40 | −$61,077.05 | 181,810 | Direct | |
| Jan 12, 2022 | Common Stock | SSaleDisposed | −730 | $123.72 | −$90,313.19 | 181,080 | Direct | |
| Jan 12, 2022 | Common Stock | SSaleDisposed | −1,000 | $124.73 | −$124,730 | 180,080 | Direct | |
| Jan 12, 2022 | Common Stock | SSaleDisposed | −600 | $126.13 | −$75,676.02 | 179,480 | Direct | |
| Jan 12, 2022 | Common Stock | SSaleDisposed | −200 | $127.20 | −$25,440 | 179,280 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 12, 2022 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 65,000 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.