NICOLL ALISON (General Counsel) sold 3.9% of their position (7.50K shares) of UPSTART HOLDINGS, INC. on the open market

Open‑market sale worth $884.4K — a minor trim. Review remaining holdings and any 10b5‑1 plan disclosures.

S · 8 sales

NICOLL ALISON

Filed: 3/11/2022ACC: 0001628280-22-005970

InsiderNICOLL ALISONCIK 1833661

→

IssuerUPSTART HOLDINGS, INC.CIK 1647639

Officer· General Counsel

Since Dec 2020

-7.50K

Net shares

Net seller

$884.4K

Total sold

Open market trades

0B · 8S

Total transactions

7.50K acquired · 15K disposed

Non-Derivative Transactions9

Common Stock

Direct

M · Option Exercise

+7.50K

Price / share

$0.43

Trade value

$3.23K

% of position

4.0%

3/9/2022

186.37K→193.87K

Common Stock

Direct

S · Sale

−680.00

Price / share

$114.71

Trade value

$78K

% of position

0.4%

3/9/2022

193.87K→193.19K

Common Stock

Direct

S · Sale

−990.00

Price / share

$115.64

Trade value

$114.48K

% of position

0.5%

3/9/2022

193.19K→192.20K

Common Stock

Direct

S · Sale

−1.52K

Price / share

$116.65

Trade value

$177.43K

% of position

0.8%

3/9/2022

192.20K→190.68K

Common Stock

Direct

S · Sale

−900.00

Price / share

$117.63

Trade value

$105.86K

% of position

0.5%

3/9/2022

190.68K→189.78K

Common Stock

Direct

S · Sale

−1.21K

Price / share

$118.66

Trade value

$143.58K

% of position

0.6%

3/9/2022

189.78K→188.57K

Common Stock

Direct

S · Sale

−791.00

Price / share

$119.78

Trade value

$94.75K

% of position

0.4%

3/9/2022

188.57K→187.78K

Common Stock

Direct

S · Sale

−1.10K

Price / share

$120.60

Trade value

$132.66K

% of position

0.6%

3/9/2022

187.78K→186.68K

Common Stock

Direct

S · Sale

−308.00

Price / share

$122.13

Trade value

$37.62K

% of position

0.2%

3/9/2022

186.68K→186.37K

Total

Net shares

+0.00

Net value

-$881.15K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	3/9/2022	M · Option Exercise	+7.50K	$0.43	$3.23K	4.0%	186.37K	193.87K
Common Stock Direct	3/9/2022	S · Sale	−680.00	$114.71	$78K	0.4%	193.87K	193.19K
Common Stock Direct	3/9/2022	S · Sale	−990.00	$115.64	$114.48K	0.5%	193.19K	192.20K
Common Stock Direct	3/9/2022	S · Sale	−1.52K	$116.65	$177.43K	0.8%	192.20K	190.68K
Common Stock Direct	3/9/2022	S · Sale	−900.00	$117.63	$105.86K	0.5%	190.68K	189.78K
Common Stock Direct	3/9/2022	S · Sale	−1.21K	$118.66	$143.58K	0.6%	189.78K	188.57K
Common Stock Direct	3/9/2022	S · Sale	−791.00	$119.78	$94.75K	0.4%	188.57K	187.78K
Common Stock Direct	3/9/2022	S · Sale	−1.10K	$120.60	$132.66K	0.6%	187.78K	186.68K
Common Stock Direct	3/9/2022	S · Sale	−308.00	$122.13	$37.62K	0.2%	186.68K	186.37K
Total			+0.00		-$881.15K

Derivative Transactions1

Employee Stock Option (Right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

7.50K shares

−7.50K

Strike price

0.43

Held after

Exercisable

—

3/9/2022

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Employee Stock Option (Right to buy) Direct	Common Stock7.50K shares	3/9/2022	M · Option Exercise	−7.50K	0.43	—	5K