Form 4 for UPST Upstart Holdings, Inc.
Accepted 2022-05-24 00:00:00 ET · period of report 2022-05-20 · accession 0001647639-22-000036 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-05-24 | 2022-05-20 | UPST | Nicoll Alison | GC, Sec | M - OptEx | $5.06 | +138.8K | 356.7K | +64% | +$702.7K |
| DM | 2022-05-24 | 2022-05-20 | UPST | Nicoll Alison | GC, Sec | M - OptEx | $0.00 | -138.8K | 83.3K | -62% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-05-20 | M | A | 21,847 | $3.80 | 378,507 | D | — | — | |
| 2 | Common | Common Stock | 2022-05-20 | M | A | 34,476 | $8.88 | 412,983 | D | — | — | |
| 3 | Common | Common Stock | 2022-05-20 | M | A | 82,505 | $3.80 | 356,660 | D | — | — | (F1) 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. |
| 4 | Derivative | Employee Stock Option (Right to buy) | 2022-05-20 | M | D | 82,505 | $0.00 | 0 | D | $3.80 · — to 2029-03-29 | 82,505 Common Stock | (F2) All of the shares subject to this option are fully vested and exercisable as of the date hereof. |
| 5 | Derivative | Employee Stock Option (Right to buy) | 2022-05-20 | M | D | 21,847 | $0.00 | 0 | D | $3.80 · — to 2029-03-29 | 21,847 Common Stock | (F2) All of the shares subject to this option are fully vested and exercisable as of the date hereof. |
| 6 | Derivative | Employee Stock Option (Right to buy) | 2022-05-20 | M | D | 34,476 | $0.00 | 83,334 | D | $8.88 · — to 2030-01-31 | 34,476 Common Stock | (F3) 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. |