Gu Paul's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Mar 3, 2022
- Accession no.
- 0001628280-22-004982
- Filed
- Mar 3, 2022, 6:10 PM ET
- Trade date
- Mar 1, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $320.0K. 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 |
|---|---|
| Gu PaulCIK 0001832812 | Director, Officer (SVP, Product and Data Science) |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 1, 2022 | Common Stock | MOption exerciseAcquired | +2,000 | $0.43 | +$860 | 461,294 | Direct | |
| Mar 1, 2022 | Common Stock | SSaleDisposed | −2,000 | $160.01 | −$320,027.6 | 459,294 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 1, 2022 | Common Stock | MOption exerciseDisposed | −2,000 | $0.00 | $0 | 180,876 | 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.