Nicoll Alison's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Mar 25, 2022
- Accession no.
- 0001628280-22-007341
- Filed
- Mar 25, 2022
- Trade date
- Mar 23, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 10 non-derivative transactions and 1 derivative transaction. Open-market sales total $914.6K. 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 23, 2022 | Common Stock | MOption exerciseAcquired | +7,500 | $0.60 | +$4,500 | 193,867 | Direct | |
| Mar 23, 2022 | Common Stock | SSaleDisposed | −634 | $118.52 | −$75,141.68 | 193,233 | Direct | |
| Mar 23, 2022 | Common Stock | SSaleDisposed | −1,400 | $119.66 | −$167,524 | 191,833 | Direct | |
| Mar 23, 2022 | Common Stock | SSaleDisposed | −1,300 | $120.75 | −$156,975 | 190,533 | Direct | |
| Mar 23, 2022 | Common Stock | SSaleDisposed | −1,200 | $121.93 | −$146,316 | 189,333 | Direct | |
| Mar 23, 2022 | Common Stock | SSaleDisposed | −1,166 | $122.99 | −$143,406.34 | 188,167 | Direct | |
| Mar 23, 2022 | Common Stock | SSaleDisposed | −600 | $124.04 | −$74,424 | 187,567 | Direct | |
| Mar 23, 2022 | Common Stock | SSaleDisposed | −500 | $125.11 | −$62,555 | 187,067 | Direct | |
| Mar 23, 2022 | Common Stock | SSaleDisposed | −600 | $125.96 | −$75,576 | 186,467 | Direct | |
| Mar 23, 2022 | Common Stock | SSaleDisposed | −100 | $126.92 | −$12,692 | 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 23, 2022 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 90,000 | 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.