Nicoll Alison's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Feb 18, 2022
- Accession no.
- 0001628280-22-003202
- Filed
- Feb 18, 2022, 5:55 PM ET
- Trade date
- Feb 16, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 15 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.08M. 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 and Secretary) |
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 16, 2022 | Common Stock | MOption exerciseAcquired | +7,500 | $0.43 | +$3,225 | 186,954 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −100 | $133.46 | −$13,346.28 | 186,854 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −100 | $134.96 | −$13,495.75 | 186,754 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −200 | $136.48 | −$27,295 | 186,554 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −200 | $137.42 | −$27,484 | 186,354 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −300 | $138.43 | −$41,529 | 186,054 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −200 | $139.62 | −$27,923 | 185,854 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −398 | $141.36 | −$56,261 | 185,456 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −602 | $142.40 | −$85,724.38 | 184,854 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −1,200 | $143.14 | −$171,767.04 | 183,654 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −700 | $144.39 | −$101,072.02 | 182,954 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −1,000 | $145.36 | −$145,357.2 | 181,954 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −1,000 | $146.73 | −$146,733.1 | 180,954 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −1,000 | $147.84 | −$147,840.3 | 179,954 | Direct | |
| Feb 16, 2022 | Common Stock | SSaleDisposed | −500 | $149.05 | −$74,523.4 | 179,454 | 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 16, 2022 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 27,500 | 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.