NICOLL ALISON (General Counsel) sold 0.2% of their position (600.00 shares) of UPSTART HOLDINGS, INC. on the open market

Open‑market sale worth $24.1K — a minor trim. Review remaining holdings and any 10b5‑1 plan disclosures.

S · 1 sale

NICOLL ALISON

Filed: 5/17/2022ACC: 0001628280-22-014689

InsiderNICOLL ALISONCIK 1833661

→

IssuerUPSTART HOLDINGS, INC.CIK 1647639

Officer· General Counsel

Since Dec 2020

-600.00

Net shares

Net seller

$24.1K

Total sold

Open market trades

0B · 1S

Total transactions

88.39K acquired · 88.99K disposed

Non-Derivative Transactions6

Common Stock

Direct

M · Option Exercise

+59.95K

Price / share

$2.15

Trade value

$128.89K

% of position

32.2%

5/13/2022

186.37K→246.32K

Common Stock

Direct

M · Option Exercise

+17.50K

Price / share

$3.80

Trade value

$66.48K

% of position

7.1%

5/13/2022

246.32K→263.81K

Common Stock

Direct

M · Option Exercise

+3.15K

Price / share

$3.80

Trade value

$11.98K

% of position

1.2%

5/13/2022

263.81K→266.96K

Common Stock

Direct

M · Option Exercise

+7.19K

Price / share

$8.88

Trade value

$63.85K

% of position

2.7%

5/13/2022

266.96K→274.15K

Common Stock

Direct

M · Option Exercise

+600.00

Price / share

$0.60

Trade value

$360.00

% of position

0.2%

5/16/2022

274.15K→274.75K

Common Stock

Direct

S · Sale

−600.00

Price / share

$40.09

Trade value

$24.05K

% of position

0.2%

5/16/2022

274.75K→274.15K

Total

Net shares

+87.79K

Net value

$247.51K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	5/13/2022	M · Option Exercise	+59.95K	$2.15	$128.89K	32.2%	186.37K	246.32K
Common Stock Direct	5/13/2022	M · Option Exercise	+17.50K	$3.80	$66.48K	7.1%	246.32K	263.81K
Common Stock Direct	5/13/2022	M · Option Exercise	+3.15K	$3.80	$11.98K	1.2%	263.81K	266.96K
Common Stock Direct	5/13/2022	M · Option Exercise	+7.19K	$8.88	$63.85K	2.7%	266.96K	274.15K
Common Stock Direct	5/16/2022	M · Option Exercise	+600.00	$0.60	$360.00	0.2%	274.15K	274.75K
Common Stock Direct	5/16/2022	S · Sale	−600.00	$40.09	$24.05K	0.2%	274.75K	274.15K
Total			+87.79K		$247.51K

Derivative Transactions5

Employee Stock Option (Right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

59.95K shares

−59.95K

Strike price

2.15

Held after

0.00

Exercisable

—

5/13/2022

Employee Stock Option (Right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

17.50K shares

−17.50K

Strike price

3.8

Held after

82.50K

Exercisable

—

5/13/2022

Employee Stock Option (Right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

3.15K shares

−3.15K

Strike price

3.8

Held after

21.85K

Exercisable

—

5/13/2022

Employee Stock Option (Right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

7.19K shares

−7.19K

Strike price

8.88

Held after

117.81K

Exercisable

—

5/13/2022

Employee Stock Option (Right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

600.00 shares

−600.00

Strike price

0.6

Held after

44.40K

Exercisable

—

5/16/2022

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Employee Stock Option (Right to buy) Direct	Common Stock59.95K shares	5/13/2022	M · Option Exercise	−59.95K	2.15	—	0.00
Employee Stock Option (Right to buy) Direct	Common Stock17.50K shares	5/13/2022	M · Option Exercise	−17.50K	3.8	—	82.50K
Employee Stock Option (Right to buy) Direct	Common Stock3.15K shares	5/13/2022	M · Option Exercise	−3.15K	3.8	—	21.85K
Employee Stock Option (Right to buy) Direct	Common Stock7.19K shares	5/13/2022	M · Option Exercise	−7.19K	8.88	—	117.81K
Employee Stock Option (Right to buy) Direct	Common Stock600.00 shares	5/16/2022	M · Option Exercise	−600.00	0.6	—	44.40K