Nicoll Alison's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Apr 8, 2022
- Accession no.
- 0001628280-22-008828
- Filed
- Apr 8, 2022
- Trade date
- Apr 6, 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 $725.7K. 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 |
|---|---|---|---|---|---|---|---|---|
| Apr 6, 2022 | Common Stock | MOption exerciseAcquired | +7,500 | $0.60 | +$4,500 | 193,867 | Direct | |
| Apr 6, 2022 | Common Stock | SSaleDisposed | −1,200 | $94.50 | −$113,400 | 192,667 | Direct | |
| Apr 6, 2022 | Common Stock | SSaleDisposed | −1,900 | $95.58 | −$181,602 | 190,767 | Direct | |
| Apr 6, 2022 | Common Stock | SSaleDisposed | −1,641 | $96.66 | −$158,619.06 | 189,126 | Direct | |
| Apr 6, 2022 | Common Stock | SSaleDisposed | −1,200 | $97.60 | −$117,120 | 187,926 | Direct | |
| Apr 6, 2022 | Common Stock | SSaleDisposed | −900 | $98.81 | −$88,929 | 187,026 | Direct | |
| Apr 6, 2022 | Common Stock | SSaleDisposed | −400 | $99.43 | −$39,772 | 186,626 | Direct | |
| Apr 6, 2022 | Common Stock | SSaleDisposed | −200 | $101.05 | −$20,210 | 186,426 | Direct | |
| Apr 6, 2022 | Common Stock | SSaleDisposed | −59 | $101.67 | −$5,998.53 | 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 |
|---|---|---|---|---|---|---|---|---|
| Apr 6, 2022 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 75,000 | 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.