Nicoll Alison's Form 4 filing
Upstart Holdings, Inc. (UPST) · filed May 19, 2022
- Accession no.
- 0001647639-22-000020
- Filed
- May 19, 2022
- Trade date
- May 17-18, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 18 non-derivative transactions and 2 derivative transactions. Open-market sales total $659.6K. 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 17, 2022 | Common Stock | MOption exerciseAcquired | +6,900 | $0.60 | +$4,140 | 281,055 | Direct | |
| May 17, 2022 | Common Stock | SSaleDisposed | −2,500 | $40.29 | −$100,725 | 278,555 | Direct | |
| May 17, 2022 | Common Stock | SSaleDisposed | −600 | $41.63 | −$24,978 | 277,955 | Direct | |
| May 17, 2022 | Common Stock | SSaleDisposed | −795 | $42.33 | −$33,652.35 | 277,160 | Direct | |
| May 17, 2022 | Common Stock | SSaleDisposed | −900 | $43.84 | −$39,456 | 276,260 | Direct | |
| May 17, 2022 | Common Stock | SSaleDisposed | −1,400 | $44.73 | −$62,622 | 274,860 | Direct | |
| May 17, 2022 | Common Stock | SSaleDisposed | −600 | $46.01 | −$27,606 | 274,260 | Direct | |
| May 17, 2022 | Common Stock | SSaleDisposed | −105 | $46.57 | −$4,889.85 | 274,155 | Direct | |
| May 18, 2022 | Common Stock | MOption exerciseAcquired | +7,500 | $0.60 | +$4,500 | 281,655 | Direct | |
| May 18, 2022 | Common Stock | SSaleDisposed | −255 | $43.60 | −$11,118 | 281,400 | Direct | |
| May 18, 2022 | Common Stock | SSaleDisposed | −300 | $45.15 | −$13,545 | 281,100 | Direct | |
| May 18, 2022 | Common Stock | SSaleDisposed | −600 | $46.15 | −$27,690 | 280,500 | Direct | |
| May 18, 2022 | Common Stock | SSaleDisposed | −1,300 | $47.27 | −$61,451 | 279,200 | Direct | |
| May 18, 2022 | Common Stock | SSaleDisposed | −1,045 | $48.34 | −$50,515.3 | 278,155 | Direct | |
| May 18, 2022 | Common Stock | SSaleDisposed | −1,400 | $49.27 | −$68,978 | 276,755 | Direct | |
| May 18, 2022 | Common Stock | SSaleDisposed | −1,500 | $50.43 | −$75,645 | 275,255 | Direct | |
| May 18, 2022 | Common Stock | SSaleDisposed | −900 | $51.41 | −$46,269 | 274,355 | Direct | |
| May 18, 2022 | Common Stock | SSaleDisposed | −200 | $52.14 | −$10,428 | 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 17, 2022 | Common Stock | MOption exerciseDisposed | −6,900 | $0.00 | $0 | 37,500 | Direct | |
| May 18, 2022 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 30,000 | 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.