Nicoll Alison's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Jan 21, 2022
- Accession no.
- 0001628280-22-001142
- Filed
- Jan 21, 2022, 6:04 PM ET
- Trade date
- Jan 19, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 1 derivative transaction. Open-market sales total $812.0K. 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 19, 2022 | Common Stock | MOption exerciseAcquired | +7,500 | $0.43 | +$3,225 | 186,780 | Direct | |
| Jan 19, 2022 | Common Stock | SSaleDisposed | −1,465 | $106.55 | −$156,089.3 | 185,315 | Direct | |
| Jan 19, 2022 | Common Stock | SSaleDisposed | −2,672 | $107.67 | −$287,699.32 | 182,643 | Direct | |
| Jan 19, 2022 | Common Stock | SSaleDisposed | −1,799 | $108.59 | −$195,349.99 | 180,844 | Direct | |
| Jan 19, 2022 | Common Stock | SSaleDisposed | −623 | $109.80 | −$68,403.72 | 180,221 | Direct | |
| Jan 19, 2022 | Common Stock | SSaleDisposed | −707 | $110.73 | −$78,288.23 | 179,514 | Direct | |
| Jan 19, 2022 | Common Stock | SSaleDisposed | −234 | $111.86 | −$26,175.24 | 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 19, 2022 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 57,500 | 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.