Nicoll Alison's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed May 6, 2022
- Accession no.
- 0001628280-22-013066
- Filed
- May 6, 2022
- Trade date
- May 4, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 11 non-derivative transactions and 1 derivative transaction. Open-market sales total $672.1K. 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 |
|---|---|---|---|---|---|---|---|---|
| May 4, 2022 | Common Stock | MOption exerciseAcquired | +7,500 | $0.60 | +$4,500 | 193,867 | Direct | |
| May 4, 2022 | Common Stock | SSaleDisposed | −275 | $83.59 | −$22,987.25 | 193,592 | Direct | |
| May 4, 2022 | Common Stock | SSaleDisposed | −600 | $85.26 | −$51,156 | 192,992 | Direct | |
| May 4, 2022 | Common Stock | SSaleDisposed | −600 | $86.64 | −$51,984 | 192,392 | Direct | |
| May 4, 2022 | Common Stock | SSaleDisposed | −756 | $87.67 | −$66,278.52 | 191,636 | Direct | |
| May 4, 2022 | Common Stock | SSaleDisposed | −650 | $88.67 | −$57,635.5 | 190,986 | Direct | |
| May 4, 2022 | Common Stock | SSaleDisposed | −1,500 | $89.93 | −$134,895 | 189,486 | Direct | |
| May 4, 2022 | Common Stock | SSaleDisposed | −1,300 | $90.82 | −$118,066 | 188,186 | Direct | |
| May 4, 2022 | Common Stock | SSaleDisposed | −600 | $91.93 | −$55,158 | 187,586 | Direct | |
| May 4, 2022 | Common Stock | SSaleDisposed | −619 | $93.15 | −$57,659.85 | 186,967 | Direct | |
| May 4, 2022 | Common Stock | SSaleDisposed | −600 | $93.86 | −$56,316 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 4, 2022 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 45,000 | 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.