Datta Sanjay's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Dec 21, 2022
- Accession no.
- 0001628280-22-032417
- Filed
- Dec 21, 2022
- Trade date
- Dec 19-20, 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 $49.2K. 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 |
|---|---|
| Datta SanjayCIK 0001832808 | Officer (Chief Financial Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 19, 2022 | Common Stock | MOption exerciseAcquired | +3,200 | $1.35 | +$4,320 | 260,485 | Direct | |
| Dec 19, 2022 | Common Stock | SSaleDisposed | −3,200 | $15.38 | −$49,216 | 257,285 | Direct | |
| Dec 20, 2022 | Common Stock | MOption exerciseAcquired | +18,300 | $1.35 | +$24,705 | 275,585 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 19, 2022 | Common Stock | MOption exerciseDisposed | −3,200 | $0.00 | $0 | 81,839 | Direct | |
| Dec 20, 2022 | Common Stock | MOption exerciseDisposed | −18,300 | $0.00 | $0 | 632,607 | 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.