Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Upstart Holdings, Inc.UPST · Entity 4306 | General Counsel and Secretary | June 24, 2022 | June 28, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Upstart Holdings, Inc.
Report date June 24, 2022 · Filed June 28, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 420,483 |
Reported balance
After 2022-06-24 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-06-24 · Exercise / conversion · Acquired 7,500 · Balance 420,483 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. 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. |
| Common StockSEC Table I · non-derivative | Direct | 427,983 |
Reported balance
After 2022-06-24 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2022-06-24 · Exercise / conversion · Acquired 7,500 · Balance 427,983 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. |
| Common StockSEC Table I · non-derivative | Direct | 412,983 |
Reported balance
After 2022-06-24 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2022-06-24 · Sale · Disposed 15,000 · Balance 412,983 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. 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. |
| Employee Stock Option (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.60 · Expires 2025-01-14 | Direct | 0 |
Reported balance
After 2022-06-24 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-06-24 · Exercise / conversion · Disposed 7,500 · Balance 0 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. F4: All of the shares subject to this option are fully vested and exercisable as of the date hereof. |
| Employee Stock Option (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.17 · Expires 2025-12-18 | Direct | 117,500 |
Reported balance
After 2022-06-24 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-06-24 · Exercise / conversion · Disposed 7,500 · Balance 117,500 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. F4: All of the shares subject to this option are fully vested and exercisable as of the date hereof. |
Filing footnotes · ownership attribution and instrument terms
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.
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.
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.
F4: All of the shares subject to this option are fully vested and exercisable as of the date hereof.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 24, 2022 Filed Jun 28, 2022 18:32 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 7,500 | $0.00 Strike: $1.17 | $0.00 |
DisclosureSEC source: 0001628280-22-018188 · wf-form4_165645554458466.xml · derivative · entry 5 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,500 Underlying: Common Stock · 7,500 shares Expires 2025-12-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. F4 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| June 24, 2022 Filed Jun 28, 2022 18:32 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 7,500 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001628280-22-018188 · wf-form4_165645554458466.xml · derivative · entry 4 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,500 shares Expires 2025-01-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. F4 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| June 24, 2022 Filed Jun 28, 2022 18:32 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 15,000 | $40.31 | $604,576.50 |
DisclosureSEC source: 0001628280-22-018188 · wf-form4_165645554458466.xml · nonDerivative · entry 3 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 412,983 F1 · kind: 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. F3 · price: 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. Read SEC document |
| June 24, 2022 Filed Jun 28, 2022 18:32 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 7,500 | $1.17 | $8,775.00 |
DisclosureSEC source: 0001628280-22-018188 · wf-form4_165645554458466.xml · nonDerivative · entry 2 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 427,983 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. Read SEC document |
| June 24, 2022 Filed Jun 28, 2022 18:32 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 7,500 | $0.60 | $4,500.00 |
DisclosureSEC source: 0001628280-22-018188 · wf-form4_165645554458466.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,483 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. F2 · balance_after: 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. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:49 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 7,500 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001628280-22-016847 · wf-form4_165489416245434.xml · derivative · entry 6 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2025-01-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F7 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:49 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 200 | $46.96 | $9,391.00 |
DisclosureSEC source: 0001628280-22-016847 · wf-form4_165489416245434.xml · nonDerivative · entry 5 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 412,983 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.93 to $46.98. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:49 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 2,300 | $46.01 | $105,818.40 |
DisclosureSEC source: 0001628280-22-016847 · wf-form4_165489416245434.xml · nonDerivative · entry 4 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 413,183 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.55 to $46.51. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:49 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 2,300 | $45.17 | $103,895.60 |
DisclosureSEC source: 0001628280-22-016847 · wf-form4_165489416245434.xml · nonDerivative · entry 3 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 415,483 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.545 to $45.53. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:49 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 2,700 | $43.85 | $118,387.17 |
DisclosureSEC source: 0001628280-22-016847 · wf-form4_165489416245434.xml · nonDerivative · entry 2 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 417,783 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.35 to $44.23. 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 the ranges set forth in footnotes (3) through (6) to this Form 4. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:49 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 7,500 | $0.60 | $4,500.00 |
DisclosureSEC source: 0001628280-22-016847 · wf-form4_165489416245434.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,483 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F2 · balance_after: 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. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 16:09 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 7,500 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001628280-22-016162 · wf-form4_165428693435533.xml · derivative · entry 9 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 7,500 shares Expires 2025-01-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F10 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 16:09 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 300 | $52.81 | $15,842.01 |
DisclosureSEC source: 0001628280-22-016162 · wf-form4_165428693435533.xml · nonDerivative · entry 8 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 412,983 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.74 to $52.89. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 16:09 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,257 | $52.03 | $65,398.06 |
DisclosureSEC source: 0001628280-22-016162 · wf-form4_165428693435533.xml · nonDerivative · entry 7 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 413,283 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.42 to $52.27. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 16:09 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 400 | $50.10 | $20,041.36 |
DisclosureSEC source: 0001628280-22-016162 · wf-form4_165428693435533.xml · nonDerivative · entry 6 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 414,540 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.74 to $50.57. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 16:09 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 300 | $49.13 | $14,738.01 |
DisclosureSEC source: 0001628280-22-016162 · wf-form4_165428693435533.xml · nonDerivative · entry 5 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 414,940 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.72 to $49.36. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 16:09 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 800 | $48.00 | $38,400.32 |
DisclosureSEC source: 0001628280-22-016162 · wf-form4_165428693435533.xml · nonDerivative · entry 4 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 415,240 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.52 to $48.3675. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 16:09 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,755 | $46.87 | $82,260.36 |
DisclosureSEC source: 0001628280-22-016162 · wf-form4_165428693435533.xml · nonDerivative · entry 3 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 416,040 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.50 to $47.415. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 16:09 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 2,688 | $46.11 | $123,956.31 |
DisclosureSEC source: 0001628280-22-016162 · wf-form4_165428693435533.xml · nonDerivative · entry 2 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 417,795 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.46 to $46.43. 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 the ranges set forth in footnotes (3) through (9) to this Form 4. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 16:09 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 7,500 | $0.60 | $4,500.00 |
DisclosureSEC source: 0001628280-22-016162 · wf-form4_165428693435533.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,483 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F2 · balance_after: 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. Read SEC document |
| May 25, 2022 Filed May 27, 2022 17:16 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 7,500 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001628280-22-015643 · wf-form4_165368617465792.xml · derivative · entry 4 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Stock · 7,500 shares Expires 2025-01-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F5 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| May 25, 2022 Filed May 27, 2022 17:16 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 200 | $41.06 | $8,212.00 |
DisclosureSEC source: 0001628280-22-015643 · wf-form4_165368617465792.xml · nonDerivative · entry 3 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 412,983 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.01 to $41.11. Read SEC document |
| May 25, 2022 Filed May 27, 2022 17:16 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 7,300 | $40.30 | $294,205.33 |
DisclosureSEC source: 0001628280-22-015643 · wf-form4_165368617465792.xml · nonDerivative · entry 2 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 413,183 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F3 · price: 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 $40.88. 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 the ranges set forth in footnotes (3) and (4) to this Form 4. Read SEC document |
| May 25, 2022 Filed May 27, 2022 17:16 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 7,500 | $0.60 | $4,500.00 |
DisclosureSEC source: 0001628280-22-015643 · wf-form4_165368617465792.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,483 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F2 · balance_after: 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. Read SEC document |
| May 20, 2022 Filed May 24, 2022 18:12 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 34,476 | $0.00 Strike: $8.88 | $0.00 |
DisclosureSEC source: 0001647639-22-000036 · wf-form4_165343032947340.xml · derivative · entry 6 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,334 Underlying: Common Stock · 34,476 shares Expires 2030-01-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: This option, originally for 125,000 shares, of which 41,666 shares have been exercised, vested as to one-twelfth of the shares on February 1, 2022 and one-twelfth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| May 20, 2022 Filed May 24, 2022 18:12 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 21,847 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001647639-22-000036 · wf-form4_165343032947340.xml · derivative · entry 5 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,847 shares Expires 2029-03-29 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| May 20, 2022 Filed May 24, 2022 18:12 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 82,505 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001647639-22-000036 · wf-form4_165343032947340.xml · derivative · entry 4 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 82,505 shares Expires 2029-03-29 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| May 20, 2022 Filed May 24, 2022 18:12 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 34,476 | $8.88 | $306,146.88 |
DisclosureSEC source: 0001647639-22-000036 · wf-form4_165343032947340.xml · nonDerivative · entry 3 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 412,983 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 20, 2022 Filed May 24, 2022 18:12 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 21,847 | $3.80 | $83,018.60 |
DisclosureSEC source: 0001647639-22-000036 · wf-form4_165343032947340.xml · nonDerivative · entry 2 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 378,507 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 20, 2022 Filed May 24, 2022 18:12 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 82,505 | $3.80 | $313,519.00 |
DisclosureSEC source: 0001647639-22-000036 · wf-form4_165343032947340.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 356,660 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: 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. Read SEC document |
| May 18, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 7,500 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · derivative · entry 20 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 7,500 shares Expires 2025-01-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F18 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| May 18, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 200 | $52.14 | $10,428.00 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 18 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,155 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F17 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.11 to $52.17. Read SEC document |
| May 18, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 900 | $51.41 | $46,267.02 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 17 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,355 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F16 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.96 to $51.85. Read SEC document |
| May 18, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,500 | $50.43 | $75,648.15 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 16 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 275,255 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F15 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.95 to $50.91. Read SEC document |
| May 18, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,400 | $49.27 | $68,977.02 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 15 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,755 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F14 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.92 to $49.76. Read SEC document |
| May 18, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,045 | $48.34 | $50,511.43 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 14 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 278,155 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F13 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.89 to $48.86. Read SEC document |
| May 18, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,300 | $47.27 | $61,447.23 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 13 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,200 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.82 to $47.81. Read SEC document |
| May 18, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 600 | $46.15 | $27,687.48 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 12 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,500 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.73 to $46.67. Read SEC document |
| May 18, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 300 | $45.15 | $13,544.01 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 11 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 281,100 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.69 to $45.53. Read SEC document |
| May 18, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 255 | $43.60 | $11,117.95 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 10 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 281,400 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.50 to $43.69. Read SEC document |
| May 18, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 7,500 | $0.60 | $4,500.00 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 9 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 281,655 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. Read SEC document |
| May 17, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 6,900 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · derivative · entry 19 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Stock · 6,900 shares Expires 2025-01-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F18 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| May 17, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 105 | $46.57 | $4,889.85 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 8 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,155 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. Read SEC document |
| May 17, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 600 | $46.01 | $27,606.00 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 7 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,260 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.51 to $46.37. Read SEC document |
| May 17, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,400 | $44.73 | $62,625.78 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 6 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,860 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.28 to $45.12. Read SEC document |
| May 17, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 900 | $43.84 | $39,454.47 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 5 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,260 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.27 to $44.16. Read SEC document |
| May 17, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 795 | $42.33 | $33,652.51 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 4 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 277,160 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.10 to $42.67. Read SEC document |
| May 17, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 600 | $41.63 | $24,978.00 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 3 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 277,955 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.08 to $41.84. Read SEC document |
| May 17, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 2,500 | $40.29 | $100,712.50 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 2 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 278,555 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F3 · price: 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 $40.90. 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 the ranges set forth in footnotes (3) through (17) to this Form 4. Read SEC document |
| May 17, 2022 Filed May 19, 2022 19:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 6,900 | $0.60 | $4,140.00 |
DisclosureSEC source: 0001647639-22-000020 · wf-form4_165300177908880.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 281,055 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021. F2 · balance_after: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.