Nicoll Alison's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Mar 18, 2022
- Accession no.
- 0001628280-22-006745
- Filed
- Mar 18, 2022, 4:58 PM ET
- Trade date
- Mar 16, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 10 non-derivative transactions and 2 derivative transactions. Open-market sales total $782.8K. 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 16, 2022 | Common Stock | MOption exerciseAcquired | +5,000 | $0.43 | +$2,150 | 191,367 | Direct | |
| Mar 16, 2022 | Common Stock | MOption exerciseAcquired | +2,500 | $0.60 | +$1,500 | 193,867 | Direct | |
| Mar 16, 2022 | Common Stock | SSaleDisposed | −400 | $99.30 | −$39,718.24 | 193,467 | Direct | |
| Mar 16, 2022 | Common Stock | SSaleDisposed | −500 | $101.27 | −$50,636 | 192,967 | Direct | |
| Mar 16, 2022 | Common Stock | SSaleDisposed | −900 | $102.33 | −$92,095.02 | 192,067 | Direct | |
| Mar 16, 2022 | Common Stock | SSaleDisposed | −700 | $103.12 | −$72,181.48 | 191,367 | Direct | |
| Mar 16, 2022 | Common Stock | SSaleDisposed | −1,500 | $104.58 | −$156,869.7 | 189,867 | Direct | |
| Mar 16, 2022 | Common Stock | SSaleDisposed | −1,600 | $105.44 | −$168,709.28 | 188,267 | Direct | |
| Mar 16, 2022 | Common Stock | SSaleDisposed | −1,500 | $106.41 | −$159,610.95 | 186,767 | Direct | |
| Mar 16, 2022 | Common Stock | SSaleDisposed | −400 | $107.53 | −$43,010.08 | 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 16, 2022 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 0 | Direct | |
| Mar 16, 2022 | Common Stock | MOption exerciseDisposed | −2,500 | $0.00 | $0 | 97,500 | 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.