NICOLL ALISON (General Counsel) sold 5.0% of their position (14.40K shares) of UPSTART HOLDINGS, INC. on the open market

Open‑market sale worth $659.5K — a minor trim. Review remaining holdings and any 10b5‑1 plan disclosures.

S · 16 sales

NICOLL ALISON

Filed: 5/19/2022ACC: 0001647639-22-000020

InsiderNICOLL ALISONCIK 1833661

→

IssuerUPSTART HOLDINGS, INC.CIK 1647639

Officer· General Counsel

Since Dec 2020

-14.40K

Net shares

Net seller

$659.5K

Total sold

Open market trades

0B · 16S

Total transactions

14.40K acquired · 28.80K disposed

Non-Derivative Transactions18

Common Stock

Direct

M · Option Exercise

+6.90K

Price / share

$0.60

Trade value

$4.14K

% of position

2.5%

5/17/2022

274.15K→281.06K

Common Stock

Direct

S · Sale

−2.50K

Price / share

$40.28

Trade value

$100.71K

% of position

0.9%

5/17/2022

281.06K→278.56K

Common Stock

Direct

S · Sale

−600.00

Price / share

$41.63

Trade value

$24.98K

% of position

0.2%

5/17/2022

278.56K→277.95K

Common Stock

Direct

S · Sale

−795.00

Price / share

$42.33

Trade value

$33.65K

% of position

0.3%

5/17/2022

277.95K→277.16K

Common Stock

Direct

S · Sale

−900.00

Price / share

$43.84

Trade value

$39.45K

% of position

0.3%

5/17/2022

277.16K→276.26K

Common Stock

Direct

S · Sale

−1.40K

Price / share

$44.73

Trade value

$62.63K

% of position

0.5%

5/17/2022

276.26K→274.86K

Common Stock

Direct

S · Sale

−600.00

Price / share

$46.01

Trade value

$27.61K

% of position

0.2%

5/17/2022

274.86K→274.26K

Common Stock

Direct

S · Sale

−105.00

Price / share

$46.57

Trade value

$4.89K

% of position

0.0%

5/17/2022

274.26K→274.15K

Common Stock

Direct

M · Option Exercise

+7.50K

Price / share

$0.60

Trade value

$4.50K

% of position

2.7%

5/18/2022

274.15K→281.65K

Common Stock

Direct

S · Sale

−255.00

Price / share

$43.60

Trade value

$11.12K

% of position

0.1%

5/18/2022

281.65K→281.40K

Common Stock

Direct

S · Sale

−300.00

Price / share

$45.15

Trade value

$13.54K

% of position

0.1%

5/18/2022

281.40K→281.10K

Common Stock

Direct

S · Sale

−600.00

Price / share

$46.15

Trade value

$27.69K

% of position

0.2%

5/18/2022

281.10K→280.50K

Common Stock

Direct

S · Sale

−1.30K

Price / share

$47.27

Trade value

$61.45K

% of position

0.5%

5/18/2022

280.50K→279.20K

Common Stock

Direct

S · Sale

−1.04K

Price / share

$48.34

Trade value

$50.51K

% of position

0.4%

5/18/2022

279.20K→278.15K

Common Stock

Direct

S · Sale

−1.40K

Price / share

$49.27

Trade value

$68.98K

% of position

0.5%

5/18/2022

278.15K→276.75K

Common Stock

Direct

S · Sale

−1.50K

Price / share

$50.43

Trade value

$75.65K

% of position

0.5%

5/18/2022

276.75K→275.25K

Common Stock

Direct

S · Sale

−900.00

Price / share

$51.41

Trade value

$46.27K

% of position

0.3%

5/18/2022

275.25K→274.36K

Common Stock

Direct

S · Sale

−200.00

Price / share

$52.14

Trade value

$10.43K

% of position

0.1%

5/18/2022

274.36K→274.15K

Total

Net shares

+0.00

Net value

-$650.91K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	5/17/2022	M · Option Exercise	+6.90K	$0.60	$4.14K	2.5%	274.15K	281.06K
Common Stock Direct	5/17/2022	S · Sale	−2.50K	$40.28	$100.71K	0.9%	281.06K	278.56K
Common Stock Direct	5/17/2022	S · Sale	−600.00	$41.63	$24.98K	0.2%	278.56K	277.95K
Common Stock Direct	5/17/2022	S · Sale	−795.00	$42.33	$33.65K	0.3%	277.95K	277.16K
Common Stock Direct	5/17/2022	S · Sale	−900.00	$43.84	$39.45K	0.3%	277.16K	276.26K
Common Stock Direct	5/17/2022	S · Sale	−1.40K	$44.73	$62.63K	0.5%	276.26K	274.86K
Common Stock Direct	5/17/2022	S · Sale	−600.00	$46.01	$27.61K	0.2%	274.86K	274.26K
Common Stock Direct	5/17/2022	S · Sale	−105.00	$46.57	$4.89K	0.0%	274.26K	274.15K
Common Stock Direct	5/18/2022	M · Option Exercise	+7.50K	$0.60	$4.50K	2.7%	274.15K	281.65K
Common Stock Direct	5/18/2022	S · Sale	−255.00	$43.60	$11.12K	0.1%	281.65K	281.40K
Common Stock Direct	5/18/2022	S · Sale	−300.00	$45.15	$13.54K	0.1%	281.40K	281.10K
Common Stock Direct	5/18/2022	S · Sale	−600.00	$46.15	$27.69K	0.2%	281.10K	280.50K
Common Stock Direct	5/18/2022	S · Sale	−1.30K	$47.27	$61.45K	0.5%	280.50K	279.20K
Common Stock Direct	5/18/2022	S · Sale	−1.04K	$48.34	$50.51K	0.4%	279.20K	278.15K
Common Stock Direct	5/18/2022	S · Sale	−1.40K	$49.27	$68.98K	0.5%	278.15K	276.75K
Common Stock Direct	5/18/2022	S · Sale	−1.50K	$50.43	$75.65K	0.5%	276.75K	275.25K
Common Stock Direct	5/18/2022	S · Sale	−900.00	$51.41	$46.27K	0.3%	275.25K	274.36K
Common Stock Direct	5/18/2022	S · Sale	−200.00	$52.14	$10.43K	0.1%	274.36K	274.15K
Total			+0.00		-$650.91K

Derivative Transactions2

Employee Stock Option (Right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

6.90K shares

−6.90K

Strike price

0.6

Held after

37.50K

Exercisable

—

5/17/2022

Employee Stock Option (Right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

7.50K shares

−7.50K

Strike price

0.6

Held after

30K

Exercisable

—

5/18/2022

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Employee Stock Option (Right to buy) Direct	Common Stock6.90K shares	5/17/2022	M · Option Exercise	−6.90K	0.6	—	37.50K
Employee Stock Option (Right to buy) Direct	Common Stock7.50K shares	5/18/2022	M · Option Exercise	−7.50K	0.6	—	30K