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Filing Details

Accession Number:: 0001209191-21-054914
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-09-03 20:33:20
Reporting Period:: 2021-09-01

Accepted Time:: 2021-09-03 20:33:20
SEC Url:: Form 4 Filing

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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2021-09-01	15,667	$223.81	162,641	No	4	S	Direct
Common Stock	Disposition	2021-09-01	37,136	$224.57	125,505	No	4	S	Direct
Common Stock	Disposition	2021-09-01	34,553	$225.62	90,952	No	4	S	Direct
Common Stock	Disposition	2021-09-01	29,344	$226.63	61,608	No	4	S	Direct
Common Stock	Disposition	2021-09-01	8,000	$227.35	53,608	No	4	S	Direct
Common Stock	Disposition	2021-09-01	300	$228.14	53,308	No	4	S	Direct
Common Stock	Disposition	2021-09-01	593	$223.51	999,407	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-09-01	1,249	$224.41	998,158	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-09-01	2,525	$225.62	995,633	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-09-01	1,682	$226.76	993,951	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-09-01	200	$227.45	993,751	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-09-01	473	$223.37	999,527	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-09-01	1,643	$224.50	997,884	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-09-01	2,195	$225.65	995,689	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-09-01	1,538	$226.65	994,151	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-09-01	400	$227.34	993,751	No	4	S	Indirect	See Footnote

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

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	200,000	Indirect	See Footnote
Common Stock	9,467,840	Indirect	See Footnote

Footnotes

The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 28, 2021.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.11 to $224.10. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2), footnotes (6) through (10), footnote (12), footnotes (14) through (17), footnote (19), and footnotes (21) through (24) to this Form 4.
Immediately prior to the sale by the Reporting Person of an aggregate of 125,000 shares of Common Stock, the 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee (the "Girouard Revocable Trust"), transferred 125,000 shares of Common Stock to the Reporting Person.
Includes a total of 65 shares received pursuant to pro rata distributions in June 2021 and August 2021 from Kleiner Perkins Caufield & Byers XV, LLC, of which the Reporting Person is a member. The acquisition of such shares was exempt pursuant to Rule 16a-9.
Certain of these securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock, subject to the applicable vesting schedule and conditions of each RSU.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.11 to $225.10.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.11 to $226.10.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.11 to $227.10.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.11 to $228.00.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $228.13 to $228.14.
The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on May 28, 2021 by the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.00 to $223.83.
These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.09 to $225.00.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.09 to $226.05.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.25 to $227.05.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.39 to $227.50.
The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on May 28, 2021 by the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.00 to $223.975.
These shares are held by Tristen Baird Willard, as trustee of the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.09 to $225.00.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.09 to $226.01.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.16 to $227.00.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.24 to $227.50.
These shares are held by David J. Girouard, as trustee of the Girouard 2020 GRAT, dated October 19, 2020.
These shares are held by the Girouard Revocable Trust.
Immediately prior to the sale by the Reporting Person of an aggregate of 125,000 shares of Common Stock, the Girouard Revocable Trust transferred 125,000 shares of Common Stock to the Reporting Person.