Key facts
- This page summarizes Alison Nicoll's Form 4 filing for Upstart Holdings, Inc. (UPST).
- 5 reported transactions and 2 derivative rows are listed below.
- Accepted by SEC: 28 Jun 2022, 18:32.
Alison Nicoll - 24 Jun 2022 Form 4 Insider Report for Upstart Holdings, Inc. (UPST)
- Reporting relationship
- General Counsel and Secretary
- Issuer ticker
- UPST
- Reported as of
- 24 Jun 2022
- Net transaction value
- -$591,302
- SEC form
- 4
- Accepted by SEC
- 28 Jun 2022, 18:32:46 UTC
- Prior SEC filing
- 10 Jun 2022
- Source filing
- View source filing
- Reporting owner signature
- /s/ Christopher Ing, by power of attorney
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Alison Nicoll filed Form 4 for Upstart Holdings, Inc. (UPST) on 28 Jun 2022.
Change
- Previous filing in this sequence was filed on 10 Jun 2022.
- Current net transaction value: -$591,302.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
UPST
transaction
Common Stock
Options Exercise
- Transaction value
- $4,500
- Shares
- +7,500
- Change %
- +1.8%
- Price
- $0.6000*
- Shares after
- 420,483
- Date
- 24 Jun 2022
- Ownership
- Direct
- Footnotes
- F1, F2
UPST
transaction
Common Stock
Options Exercise
- Transaction value
- $8,775
- Shares
- +7,500
- Change %
- +1.8%
- Price
- $1.17*
- Shares after
- 427,983
- Date
- 24 Jun 2022
- Ownership
- Direct
- Footnotes
- F1
UPST
transaction
Common Stock
Sale
- Transaction value
- $604,576
- Shares
- -15,000
- Change %
- -3.5%
- Price
- $40.31
- Shares after
- 412,983
- Date
- 24 Jun 2022
- Ownership
- Direct
- Footnotes
- F1, F3
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
UPST
transaction
Derivative
Employee Stock Option (Right to buy)
Options Exercise
- Transaction value
- $0
- Shares
- -7,500
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 24 Jun 2022
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 7,500
- Exercise price
- $0.6000
- Footnotes
- F1, F4
UPST
transaction
Derivative
Employee Stock Option (Right to buy)
Options Exercise
- Transaction value
- $0
- Shares
- -7,500
- Change %
- -6%
- Price
- $0.000000
- Shares after
- 117,500
- Date
- 24 Jun 2022
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 7,500
- Exercise price
- $1.17
- Footnotes
- F1, F4
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 4 footnotes
Footnote F1
The option exercises and sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021.
Footnote F2
Certain of these securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock, subject to the applicable vesting schedule and conditions of each RSU.
Footnote F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.99. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
Footnote F4
All of the shares subject to this option are fully vested and exercisable as of the date hereof.