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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1647639	Upstart Holdings Inc.	UPST	()	DE

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1040273	Third Point Llc	55 Hudson Yards New York NY 10001		No	No	Yes	Yes
1300345	S Daniel Loeb	55 Hudson Yards New York NY 10001		No	No	Yes	Yes

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	6,945,796	$0.00	6,945,796	No	4	C	Indirect	By Third Point Ventures, LLC.
Common Stock	Acquisiton	2020-12-18	5,235,426	$0.00	12,181,222	No	4	C	Indirect	By Third Point Ventures, LLC.
Common Stock	Acquisiton	2020-12-18	1,200,000	$20.00	13,381,222	No	4	P	Indirect	By Third Point Ventures, LLC.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	By Third Point Ventures, LLC.
No	4	C	Indirect	By Third Point Ventures, LLC.
No	4	P	Indirect	By Third Point Ventures, LLC.

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series C Convertible Preferred Stock	Disposition	2020-12-18	6,945,796	$0.00	6,945,796	$0.00
Common Stock	Series C-1 Convertible Preferred Stock (Common Stock)	Disposition	2020-12-18	5,235,426	$0.00	5,235,426	$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

Footnotes

The securities of the Issuer set forth herein are directly beneficially owned by Third Point Ventures, LLC ("Third Point Ventures"). Third Point Ventures is an affiliate of Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by Third Point Ventures. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.
In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.
In connection with the Issuer's initial public offering of Common Stock, Third Point Ventures purchased additional shares of Common Stock from the underwriters at the initial public offering price as set forth herein.