Nicoll Alison's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Mar 11, 2022
- Accession no.
- 0001628280-22-005970
- Filed
- Mar 11, 2022, 6:30 PM ET
- Trade date
- Mar 9, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 1 derivative transaction. Open-market sales total $884.4K. 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 9, 2022 | Common Stock | MOption exerciseAcquired | +7,500 | $0.43 | +$3,225 | 193,867 | Direct | |
| Mar 9, 2022 | Common Stock | SSaleDisposed | −680 | $114.71 | −$78,000.83 | 193,187 | Direct | |
| Mar 9, 2022 | Common Stock | SSaleDisposed | −990 | $115.64 | −$114,480.53 | 192,197 | Direct | |
| Mar 9, 2022 | Common Stock | SSaleDisposed | −1,521 | $116.65 | −$177,430.89 | 190,676 | Direct | |
| Mar 9, 2022 | Common Stock | SSaleDisposed | −900 | $117.63 | −$105,864.66 | 189,776 | Direct | |
| Mar 9, 2022 | Common Stock | SSaleDisposed | −1,210 | $118.66 | −$143,575.45 | 188,566 | Direct | |
| Mar 9, 2022 | Common Stock | SSaleDisposed | −791 | $119.78 | −$94,745.51 | 187,775 | Direct | |
| Mar 9, 2022 | Common Stock | SSaleDisposed | −1,100 | $120.60 | −$132,660.55 | 186,675 | Direct | |
| Mar 9, 2022 | Common Stock | SSaleDisposed | −308 | $122.13 | −$37,615.86 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 9, 2022 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 5,000 | 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.