Datta Sanjay's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed Mar 21, 2023
- Accession no.
- 0001628280-23-008779
- Filed
- Mar 21, 2023
- Trade date
- Mar 17-20, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $48.5K. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 17, 2023 | Common Stock | AGrant or awardAcquired | +167,598 | $0.00 | $0 | 448,268 | Direct | |
| Mar 20, 2023 | Common Stock | MOption exerciseAcquired | +3,200 | $1.35 | +$4,320 | 451,468 | Direct | |
| Mar 20, 2023 | Common Stock | SSaleDisposed | −3,200 | $15.16 | −$48,512 | 448,268 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 17, 2023 | Common Stock | AGrant or awardAcquired | +318,436 | $0.00 | $0 | 318,436 | Direct | |
| Mar 20, 2023 | Common Stock | MOption exerciseDisposed | −3,200 | $15.16 | −$48,512 | 41,139 | 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.