Nicoll Alison's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Feb 25, 2022
- Accession no.
- 0001628280-22-004009
- Filed
- Feb 25, 2022, 4:55 PM ET
- Trade date
- Feb 23, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 14 non-derivative transactions and 1 derivative transaction. Open-market sales total $888.5K. 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 23, 2022 | Common Stock | MOption exerciseAcquired | +7,500 | $0.43 | +$3,225 | 193,867 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −495 | $112.41 | −$55,644.63 | 193,372 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −450 | $113.38 | −$51,020.37 | 192,922 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −625 | $114.51 | −$71,568.94 | 192,297 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −700 | $115.58 | −$80,903.62 | 191,597 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −656 | $116.79 | −$76,616.4 | 190,941 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −900 | $117.99 | −$106,188.21 | 190,041 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −650 | $119.05 | −$77,383.74 | 189,391 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −850 | $120.09 | −$102,078.63 | 188,541 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −800 | $121.08 | −$96,864 | 187,741 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −400 | $122.50 | −$49,001 | 187,341 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −374 | $123.78 | −$46,292.97 | 186,967 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −500 | $124.72 | −$62,360 | 186,467 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −100 | $126.00 | −$12,600 | 186,367 | 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 23, 2022 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 20,000 | 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.