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 |
|---|---|---|---|---|---|---|
| August 18, 2021 Filed Aug 20, 2021 18:18 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 700 | $208.66 | $146,061.02 |
DisclosureSEC source: 0001209191-21-052836 · doc4.xml · nonDerivative · entry 4 Nicoll Alison · CIK 0001833661 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,430 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 $208.00 to $208.99. F3 · 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 |
| August 18, 2021 Filed Aug 20, 2021 18:18 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,200 | $207.12 | $248,541.96 |
DisclosureSEC source: 0001209191-21-052836 · doc4.xml · nonDerivative · entry 3 Nicoll Alison · CIK 0001833661 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,130 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 $206.56 to $207.45. 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 (4) through (15) to this Form 4. F3 · 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 |
| August 18, 2021 Filed Aug 20, 2021 18:18 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 400 | $204.41 | $81,764.00 |
DisclosureSEC source: 0001209191-21-052836 · doc4.xml · nonDerivative · entry 2 Nicoll Alison · CIK 0001833661 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,330 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 · 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 |
| August 18, 2021 Filed Aug 20, 2021 18:18 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 22,500 | $0.23 | $5,175.00 |
DisclosureSEC source: 0001209191-21-052836 · doc4.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,730 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: Includes 2,000 shares acquired on August 18, 2021 under the Issuer's 2020 Employee Stock Purchase Plan. F3 · 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 |
| March 20, 2021 Filed Mar 23, 2021 18:20 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | GrantEmployee Stock Option (Right to buy) · Derivative | 24,460 | $0.00 Strike: $125.28 | $0.00 |
DisclosureSEC source: 0001209191-21-022658 · doc4.xml · derivative · entry 2 Nicoll Alison · CIK 0001833661 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,460 Underlying: Common Stock · 24,460 shares Expires 2031-03-20 F2 · derivative.exercise_date: 1/14th of the shares subject to the option shall vest on January 20, 2023 and each one-month anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| March 20, 2021 Filed Mar 23, 2021 18:20 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | GrantCommon Stock | 12,230 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-022658 · doc4.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,230 F1 · shares: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 20% of the RSUs shall vest on February 20, 2023 and each three-month anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. F1 · balance_after: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 20% of the RSUs shall vest on February 20, 2023 and each three-month anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| December 18, 2020 Filed Dec 21, 2020 17:37 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 70,000 | $18.60 | $1,302,000.00 |
DisclosureSEC source: 0001209191-20-064689 · doc4.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Represents the sale price to the underwriters in the Issuer's initial public offering of $18.60 per share. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 17:03 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 70,000 | $0.00 Strike: $0.23 | $0.00 |
DisclosureSEC source: 0001209191-20-064111 · doc4.xml · derivative · entry 2 Nicoll Alison · CIK 0001833661 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,435 Underlying: Common Stock · 70,000 shares Expires 2023-03-18 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 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 17:03 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 70,000 | $0.23 | $16,100.00 |
DisclosureSEC source: 0001209191-20-064111 · doc4.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.