Mirgorodskaya Natalia's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Sep 2, 2022
- Accession no.
- 0001628280-22-024298
- Filed
- Sep 2, 2022, 5:04 PM ET
- Trade date
- Aug 31-Sep 1, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $100.9K. 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 |
|---|---|
| Mirgorodskaya NataliaCIK 0001833851 | Officer (Corporate Controller) |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 31, 2022 | Common Stock | AGrant or awardAcquired | +17,914 | $0.00 | $0 | 42,516 | Direct | |
| Sep 1, 2022 | Common Stock | MOption exerciseAcquired | +4,000 | $0.43 | +$1,720 | 46,516 | Direct | |
| Sep 1, 2022 | Common Stock | SSaleDisposed | −4,000 | $25.23 | −$100,920 | 42,516 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 31, 2022 | Common Stock | AGrant or awardAcquired | +13,137 | $0.00 | $0 | 13,137 | Direct | |
| Sep 1, 2022 | Common Stock | MOption exerciseAcquired | +4,000 | $0.00 | $0 | 12,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.