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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Upstart Holdings Inc | NASDAQ:UPST | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.74 | 3.15% | 24.25 | 24.00 | 24.25 | 24.98 | 23.51 | 24.67 | 4,310,850 | 05:00:06 |
1. Name and Address of Reporting Person * Nicoll Alison | 2. Issuer Name and Ticker or Trading Symbol Upstart Holdings, Inc. [ UPST ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) General Counsel |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/20/2021 | M(1) | 22500 | A | $0.23 | 36730 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 177 | D | $352.62 | 36553 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 319 | D | $353.6844 (3) | 36234 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 2110 | D | $355.4318 (4) | 34124 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 2005 | D | $356.4303 (5) | 32119 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 3083 | D | $357.7154 (6) | 29036 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 3328 | D | $358.8184 (7) | 25708 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 2672 | D | $359.6528 (8) | 23036 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 1792 | D | $361.01 (9) | 21244 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 2486 | D | $362.0151 (10) | 18758 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 1656 | D | $363.4766 (11) | 17102 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 1225 | D | $364.637 (12) | 15877 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 892 | D | $365.7704 (13) | 14985 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 406 | D | $367.0223 (14) | 14579 (2) | D | |||
Common Stock | 10/20/2021 | S(1) | 349 | D | $367.877 (15) | 14230 (2) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to buy) | $0.23 | 10/20/2021 | M (1) | 22500 | (16) | 3/18/2023 | Common Stock | 22500 | $0.00 | 55435 | D |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
Nicoll Alison C/O UPSTART HOLDINGS, INC. 2950 S. DELAWARE STREET, SUITE 300 SAN MATEO, CA 94403 | General Counsel |
Signatures | ||
/s/ Christopher Ing, by power of attorney | 10/22/2021 | |
**Signature of Reporting Person | Date |
1 Year Upstart Chart |
1 Month Upstart Chart |
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