Nicoll Alison's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed May 17, 2022
- Accession no.
- 0001628280-22-014689
- Filed
- May 17, 2022
- Trade date
- May 13-16, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 5 derivative transactions. Open-market sales total $24.1K. It was filed 4 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 13, 2022 | Common Stock | MOption exerciseAcquired | +59,950 | $2.15 | +$128,892.5 | 246,317 | Direct | |
| May 13, 2022 | Common Stock | MOption exerciseAcquired | +17,495 | $3.80 | +$66,481 | 263,812 | Direct | |
| May 13, 2022 | Common Stock | MOption exerciseAcquired | +3,153 | $3.80 | +$11,981.4 | 266,965 | Direct | |
| May 13, 2022 | Common Stock | MOption exerciseAcquired | +7,190 | $8.88 | +$63,847.2 | 274,155 | Direct | |
| May 16, 2022 | Common Stock | MOption exerciseAcquired | +600 | $0.60 | +$360 | 274,755 | Direct | |
| May 16, 2022 | Common Stock | SSaleDisposed | −600 | $40.09 | −$24,054 | 274,155 | 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 13, 2022 | Common Stock | MOption exerciseDisposed | −59,950 | $0.00 | $0 | 0 | Direct | |
| May 13, 2022 | Common Stock | MOption exerciseDisposed | −17,495 | $0.00 | $0 | 82,505 | Direct | |
| May 13, 2022 | Common Stock | MOption exerciseDisposed | −3,153 | $0.00 | $0 | 21,847 | Direct | |
| May 13, 2022 | Common Stock | MOption exerciseDisposed | −7,190 | $0.00 | $0 | 117,810 | Direct | |
| May 16, 2022 | Common Stock | MOption exerciseDisposed | −600 | $0.00 | $0 | 44,400 | 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.