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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1647639	Upstart Holdings Inc.	UPST	Finance Services (6199)	464332431

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1832805	Dave Girouard	C/O Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 300 San Mateo CA 94403	Chief Executive Officer	Yes	Yes	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-12-18	792,840	$0.00	10,592,840	No	4	C	Indirect	See Footnote
Common Stock	Disposition	2020-12-18	1,000,000	$18.60	9,592,840	No	4	S	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See Footnote
No	4	S	Indirect	See Footnote

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series B Preferred Stock	Disposition	2020-12-18	385,383	$0.00	385,383	$0.00
Common Stock	Series C-1 Preferred Stock	Disposition	2020-12-18	407,457	$0.00	407,457	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Indirect
0			No	4	C	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	200,000	Indirect	See Footnote
Common Stock	1,000,000	Indirect	See Footnote
Common Stock	1,000,000	Indirect	See Footnote

Footnotes

The Series B Preferred Stock and Series C-1 Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
These shares are held by 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee.
Represents the sale price to the underwriters in the Issuer's initial public offering of $18.60 per share.
These shares are held by David J. Girouard, as trustee of the Girouard 2020 GRAT, dated October 19, 2020.
These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
These shares are held by Tristen Baird Willard, as trustee of the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.