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 |
|---|---|---|---|---|---|---|
| April 06, 2022 Filed Apr 8, 2022 16:29 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 200 | $101.05 | $20,210.02 |
DisclosureSEC source: 0001628280-22-008828 · wf-form4_164944973582698.xml · nonDerivative · entry 8 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,426 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 $100.60 to $101.51. Read SEC document |
| April 06, 2022 Filed Apr 8, 2022 16:29 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 400 | $99.43 | $39,770.00 |
DisclosureSEC source: 0001628280-22-008828 · wf-form4_164944973582698.xml · nonDerivative · entry 7 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,626 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 $99.29 to $99.53. Read SEC document |
| April 06, 2022 Filed Apr 8, 2022 16:29 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 900 | $98.81 | $88,931.25 |
DisclosureSEC source: 0001628280-22-008828 · wf-form4_164944973582698.xml · nonDerivative · entry 6 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,026 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 $98.29 to $99.28. Read SEC document |
| April 06, 2022 Filed Apr 8, 2022 16:29 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,200 | $97.60 | $117,117.96 |
DisclosureSEC source: 0001628280-22-008828 · wf-form4_164944973582698.xml · nonDerivative · entry 5 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,926 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 $97.29 to $98.23. Read SEC document |
| April 06, 2022 Filed Apr 8, 2022 16:29 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,641 | $96.66 | $158,626.77 |
DisclosureSEC source: 0001628280-22-008828 · wf-form4_164944973582698.xml · nonDerivative · entry 4 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,126 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 $96.26 to $97.24. Read SEC document |
| April 06, 2022 Filed Apr 8, 2022 16:29 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,900 | $95.58 | $181,598.01 |
DisclosureSEC source: 0001628280-22-008828 · wf-form4_164944973582698.xml · nonDerivative · entry 3 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,767 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 $95.175 to $96.13. Read SEC document |
| April 06, 2022 Filed Apr 8, 2022 16:29 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,200 | $94.50 | $113,395.08 |
DisclosureSEC source: 0001628280-22-008828 · wf-form4_164944973582698.xml · nonDerivative · entry 2 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,667 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 $94.09 to $94.99. 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 the ranges set forth in footnotes (3) through (9) to this Form 4. Read SEC document |
| April 06, 2022 Filed Apr 8, 2022 16:29 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 7,500 | $0.60 | $4,500.00 |
DisclosureSEC source: 0001628280-22-008828 · wf-form4_164944973582698.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,867 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 |
| March 30, 2022 Filed Apr 1, 2022 16:24 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: 0001628280-22-008162 · wf-form4_164884463582948.xml · derivative · entry 13 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,500 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. F14 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 400 | $124.88 | $49,952.52 |
DisclosureSEC source: 0001628280-22-008162 · wf-form4_164884463582948.xml · nonDerivative · entry 12 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,367 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. F13 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $124.64 to $125.15. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,100 | $123.69 | $136,061.97 |
DisclosureSEC source: 0001628280-22-008162 · wf-form4_164884463582948.xml · nonDerivative · entry 11 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,767 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. F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $123.28 to $124.03. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,000 | $122.61 | $122,612.50 |
DisclosureSEC source: 0001628280-22-008162 · wf-form4_164884463582948.xml · nonDerivative · entry 10 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,867 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. F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $122.21 to $123.09. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,300 | $121.57 | $158,046.59 |
DisclosureSEC source: 0001628280-22-008162 · wf-form4_164884463582948.xml · nonDerivative · entry 9 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,867 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 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.12 to $122.0475. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 300 | $120.23 | $36,068.01 |
DisclosureSEC source: 0001628280-22-008162 · wf-form4_164884463582948.xml · nonDerivative · entry 8 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,167 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 $120.00 to $120.51. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 500 | $118.98 | $59,488.00 |
DisclosureSEC source: 0001628280-22-008162 · wf-form4_164884463582948.xml · nonDerivative · entry 7 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,467 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 $118.63 to $119.29. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 500 | $117.65 | $58,827.00 |
DisclosureSEC source: 0001628280-22-008162 · wf-form4_164884463582948.xml · nonDerivative · entry 6 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,967 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 $117.38 to $117.97. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 800 | $116.64 | $93,312.48 |
DisclosureSEC source: 0001628280-22-008162 · wf-form4_164884463582948.xml · nonDerivative · entry 5 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,467 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 $116.20 to $117.18. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 400 | $115.36 | $46,143.36 |
DisclosureSEC source: 0001628280-22-008162 · wf-form4_164884463582948.xml · nonDerivative · entry 4 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,267 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 $115.11 to $115.54. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 489 | $114.64 | $56,057.30 |
DisclosureSEC source: 0001628280-22-008162 · wf-form4_164884463582948.xml · nonDerivative · entry 3 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,667 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 $114.06 to $115.02. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 711 | $113.46 | $80,667.07 |
DisclosureSEC source: 0001628280-22-008162 · wf-form4_164884463582948.xml · nonDerivative · entry 2 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,156 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 $113.04 to $114.02. 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 (13) to this Form 4. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 7,500 | $0.60 | $4,500.00 |
DisclosureSEC source: 0001628280-22-008162 · wf-form4_164884463582948.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,867 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 |
| March 23, 2022 Filed Mar 25, 2022 16:28 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: 0001628280-22-007341 · wf-form4_164824009871015.xml · derivative · entry 11 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 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. F12 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 16:28 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 100 | $126.92 | $12,691.90 |
DisclosureSEC source: 0001628280-22-007341 · wf-form4_164824009871015.xml · nonDerivative · entry 10 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,367 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. F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.89 to $126.94. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 16:28 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 600 | $125.96 | $75,573.00 |
DisclosureSEC source: 0001628280-22-007341 · wf-form4_164824009871015.xml · nonDerivative · entry 9 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,467 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 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.82 to $126.27. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 16:28 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 500 | $125.11 | $62,553.00 |
DisclosureSEC source: 0001628280-22-007341 · wf-form4_164824009871015.xml · nonDerivative · entry 8 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,067 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 $124.795 to $125.69. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 16:28 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 600 | $124.04 | $74,421.00 |
DisclosureSEC source: 0001628280-22-007341 · wf-form4_164824009871015.xml · nonDerivative · entry 7 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,567 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 $123.57 to $124.56. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 16:28 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,166 | $122.99 | $143,403.54 |
DisclosureSEC source: 0001628280-22-007341 · wf-form4_164824009871015.xml · nonDerivative · entry 6 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,167 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 $122.56 to $123.45. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 16:28 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,200 | $121.93 | $146,310.48 |
DisclosureSEC source: 0001628280-22-007341 · wf-form4_164824009871015.xml · nonDerivative · entry 5 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,333 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 $121.45 to $122.16. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 16:28 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,300 | $120.75 | $156,968.50 |
DisclosureSEC source: 0001628280-22-007341 · wf-form4_164824009871015.xml · nonDerivative · entry 4 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,533 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 $120.26 to $121.255. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 16:28 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,400 | $119.66 | $167,525.82 |
DisclosureSEC source: 0001628280-22-007341 · wf-form4_164824009871015.xml · nonDerivative · entry 3 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,833 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 $119.16 to $120.07. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 16:28 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 634 | $118.52 | $75,140.10 |
DisclosureSEC source: 0001628280-22-007341 · wf-form4_164824009871015.xml · nonDerivative · entry 2 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,233 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 $118.14 to $119.015. 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 (11) to this Form 4. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 16:28 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 7,500 | $0.60 | $4,500.00 |
DisclosureSEC source: 0001628280-22-007341 · wf-form4_164824009871015.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,867 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 |
| March 16, 2022 Filed Mar 18, 2022 16:58 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 2,500 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001628280-22-006745 · wf-form4_164763709448001.xml · derivative · entry 12 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,500 Underlying: Common Stock · 2,500 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. F11 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 16:58 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 5,000 | $0.00 Strike: $0.43 | $0.00 |
DisclosureSEC source: 0001628280-22-006745 · wf-form4_164763709448001.xml · derivative · entry 11 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2024-06-19 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. F11 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 16:58 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 400 | $107.53 | $43,010.08 |
DisclosureSEC source: 0001628280-22-006745 · wf-form4_164763709448001.xml · nonDerivative · entry 10 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,367 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 $107.24 to $108.19. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 16:58 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,500 | $106.41 | $159,610.95 |
DisclosureSEC source: 0001628280-22-006745 · wf-form4_164763709448001.xml · nonDerivative · entry 9 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,767 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 $106.06 to $106.99. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 16:58 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,600 | $105.44 | $168,709.28 |
DisclosureSEC source: 0001628280-22-006745 · wf-form4_164763709448001.xml · nonDerivative · entry 8 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,267 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 $105.045 to $105.94. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 16:58 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,500 | $104.58 | $156,869.70 |
DisclosureSEC source: 0001628280-22-006745 · wf-form4_164763709448001.xml · nonDerivative · entry 7 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,867 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 $104.015 to $105.00. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 16:58 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 700 | $103.12 | $72,181.48 |
DisclosureSEC source: 0001628280-22-006745 · wf-form4_164763709448001.xml · nonDerivative · entry 6 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,367 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 $102.82 to $103.79. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 16:58 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 900 | $102.33 | $92,095.02 |
DisclosureSEC source: 0001628280-22-006745 · wf-form4_164763709448001.xml · nonDerivative · entry 5 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,067 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 $101.75 to $102.71. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 16:58 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 500 | $101.27 | $50,636.00 |
DisclosureSEC source: 0001628280-22-006745 · wf-form4_164763709448001.xml · nonDerivative · entry 4 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,967 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 $100.71 to $101.67. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 16:58 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 400 | $99.30 | $39,718.24 |
DisclosureSEC source: 0001628280-22-006745 · wf-form4_164763709448001.xml · nonDerivative · entry 3 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,467 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 $98.99 to $99.42. 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 (10) to this Form 4. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 16:58 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 2,500 | $0.60 | $1,500.00 |
DisclosureSEC source: 0001628280-22-006745 · wf-form4_164763709448001.xml · nonDerivative · entry 2 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,867 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 |
| March 16, 2022 Filed Mar 18, 2022 16:58 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 5,000 | $0.43 | $2,150.00 |
DisclosureSEC source: 0001628280-22-006745 · wf-form4_164763709448001.xml · nonDerivative · entry 1 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,367 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 |
| March 09, 2022 Filed Mar 11, 2022 18:30 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 7,500 | $0.00 Strike: $0.43 | $0.00 |
DisclosureSEC source: 0001628280-22-005970 · wf-form4_164704141073852.xml · derivative · entry 10 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 7,500 shares Expires 2024-06-19 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. F11 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| March 09, 2022 Filed Mar 11, 2022 18:30 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 308 | $122.13 | $37,615.86 |
DisclosureSEC source: 0001628280-22-005970 · wf-form4_164704141073852.xml · nonDerivative · entry 9 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,367 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 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.76 to $122.64. Read SEC document |
| March 09, 2022 Filed Mar 11, 2022 18:30 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,100 | $120.60 | $132,660.55 |
DisclosureSEC source: 0001628280-22-005970 · wf-form4_164704141073852.xml · nonDerivative · entry 8 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,675 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 $120.45 to $121.00. Read SEC document |
| March 09, 2022 Filed Mar 11, 2022 18:30 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 791 | $119.78 | $94,745.51 |
DisclosureSEC source: 0001628280-22-005970 · wf-form4_164704141073852.xml · nonDerivative · entry 7 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,775 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 $119.18 to $120.07. Read SEC document |
| March 09, 2022 Filed Mar 11, 2022 18:30 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,210 | $118.66 | $143,575.45 |
DisclosureSEC source: 0001628280-22-005970 · wf-form4_164704141073852.xml · nonDerivative · entry 6 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,566 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 $118.18 to $119.17. Read SEC document |
| March 09, 2022 Filed Mar 11, 2022 18:30 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 900 | $117.63 | $105,864.66 |
DisclosureSEC source: 0001628280-22-005970 · wf-form4_164704141073852.xml · nonDerivative · entry 5 Nicoll Alison · CIK 0001833661 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,776 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 $117.11 to $118.09. 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.