Nicoll Alison's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Apr 1, 2022
- Accession no.
- 0001628280-22-008162
- Filed
- Apr 1, 2022
- Trade date
- Mar 30, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 12 non-derivative transactions and 1 derivative transaction. Open-market sales total $897.2K. 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 30, 2022 | Common Stock | MOption exerciseAcquired | +7,500 | $0.60 | +$4,500 | 193,867 | Direct | |
| Mar 30, 2022 | Common Stock | SSaleDisposed | −711 | $113.46 | −$80,670.06 | 193,156 | Direct | |
| Mar 30, 2022 | Common Stock | SSaleDisposed | −489 | $114.64 | −$56,058.96 | 192,667 | Direct | |
| Mar 30, 2022 | Common Stock | SSaleDisposed | −400 | $115.36 | −$46,144 | 192,267 | Direct | |
| Mar 30, 2022 | Common Stock | SSaleDisposed | −800 | $116.64 | −$93,312 | 191,467 | Direct | |
| Mar 30, 2022 | Common Stock | SSaleDisposed | −500 | $117.65 | −$58,825 | 190,967 | Direct | |
| Mar 30, 2022 | Common Stock | SSaleDisposed | −500 | $118.98 | −$59,490 | 190,467 | Direct | |
| Mar 30, 2022 | Common Stock | SSaleDisposed | −300 | $120.23 | −$36,069 | 190,167 | Direct | |
| Mar 30, 2022 | Common Stock | SSaleDisposed | −1,300 | $121.57 | −$158,041 | 188,867 | Direct | |
| Mar 30, 2022 | Common Stock | SSaleDisposed | −1,000 | $122.61 | −$122,610 | 187,867 | Direct | |
| Mar 30, 2022 | Common Stock | SSaleDisposed | −1,100 | $123.69 | −$136,059 | 186,767 | Direct | |
| Mar 30, 2022 | Common Stock | SSaleDisposed | −400 | $124.88 | −$49,952 | 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 30, 2022 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 82,500 | 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.