Nicoll Alison's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Feb 4, 2022
- Accession no.
- 0001628280-22-001871
- Filed
- Feb 4, 2022, 7:25 PM ET
- Trade date
- Feb 2, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 12 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 2, 2022 | Common Stock | MOption exerciseAcquired | +7,500 | $0.43 | +$3,225 | 186,780 | Direct | |
| Feb 2, 2022 | Common Stock | SSaleDisposed | −400 | $104.01 | −$41,603 | 186,380 | Direct | |
| Feb 2, 2022 | Common Stock | SSaleDisposed | −1,200 | $105.35 | −$126,419.76 | 185,180 | Direct | |
| Feb 2, 2022 | Common Stock | SSaleDisposed | −2,300 | $106.21 | −$244,292.2 | 182,880 | Direct | |
| Feb 2, 2022 | Common Stock | SSaleDisposed | −500 | $107.37 | −$53,686 | 182,380 | Direct | |
| Feb 2, 2022 | Common Stock | SSaleDisposed | −400 | $108.73 | −$43,491 | 181,980 | Direct | |
| Feb 2, 2022 | Common Stock | SSaleDisposed | −700 | $109.58 | −$76,708.52 | 181,280 | Direct | |
| Feb 2, 2022 | Common Stock | SSaleDisposed | −200 | $110.80 | −$22,160 | 181,080 | Direct | |
| Feb 2, 2022 | Common Stock | SSaleDisposed | −900 | $112.35 | −$101,113.02 | 180,180 | Direct | |
| Feb 2, 2022 | Common Stock | SSaleDisposed | −600 | $113.25 | −$67,948.02 | 179,580 | Direct | |
| Feb 2, 2022 | Common Stock | SSaleDisposed | −200 | $114.89 | −$22,978.2 | 179,380 | Direct | |
| Feb 2, 2022 | Common Stock | SSaleDisposed | −100 | $115.72 | −$11,572 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 2, 2022 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 42,500 | 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.