Filing Details
- Accession Number:
- 0001832812-21-000008
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-17 19:54:12
- Reporting Period:
- 2021-11-15
- Accepted Time:
- 2021-11-17 19:54:12
- 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 |
|---|---|---|---|---|---|---|---|
| 1832812 | Paul Gu | C/O Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 300 San Mateo CA 94403 | Svp, Product And Data Science | Yes | Yes | No | 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 | 2021-11-15 | 40,000 | $1.35 | 407,412 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-11-15 | 10,000 | $2.15 | 417,412 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-11-15 | 39,000 | $0.43 | 456,412 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-15 | 852 | $233.24 | 455,560 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 2,400 | $234.10 | 453,160 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 800 | $235.21 | 452,360 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 200 | $235.80 | 452,160 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 700 | $237.72 | 451,460 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 3,300 | $238.89 | 448,160 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 4,100 | $239.74 | 444,060 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 1,900 | $240.89 | 442,160 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 2,900 | $241.85 | 439,260 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 1,100 | $242.84 | 438,160 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 800 | $243.99 | 437,360 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 2,100 | $246.07 | 435,260 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 2,100 | $247.00 | 433,160 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 3,100 | $248.08 | 430,060 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 1,325 | $249.37 | 428,735 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 3,476 | $250.30 | 425,259 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 2,300 | $251.24 | 422,959 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 1,200 | $252.74 | 421,759 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 2,247 | $253.81 | 419,512 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 400 | $254.82 | 419,112 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 400 | $255.80 | 418,712 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 600 | $258.49 | 418,112 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 356 | $259.43 | 417,756 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 244 | $260.51 | 417,512 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 100 | $261.58 | 417,412 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
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| No | 4 | S | Direct | |
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Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to buy) | Disposition | 2021-11-15 | 40,000 | $0.00 | 40,000 | $1.35 |
| Common Stock | Employee Stock Option (Right to buy) | Disposition | 2021-11-15 | 10,000 | $0.00 | 10,000 | $2.15 |
| Common Stock | Employee Stock Option (Right to buy) | Disposition | 2021-11-15 | 39,000 | $0.00 | 39,000 | $0.43 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2027-01-09 | No | 4 | M | Direct | |
| 160,000 | 2027-12-18 | No | 4 | M | Direct | |
| 182,876 | 2024-06-19 | No | 4 | M | Direct |
Footnotes
- 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 option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 27, 2021 (the "10b5-1 Plan").
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $232.74 to $233.70. 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 footnotes (3) through (25) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $233.74 to $234.67.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $234.80 to $235.72.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $237.23 to $238.11.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $238.35 to $239.31.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $239.40 to $240.32.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $240.44 to $241.35.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $241.45 to $242.33.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $242.48 to $243.35.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $243.59 to $244.43.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $245.55 to $246.50.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $246.59 to $247.50.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $247.67 to $248.59.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $248.84 to $249.82.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $249.84 to $250.83.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $250.85 to $251.77.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $252.19 to $253.15.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $253.35 to $254.21.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $254.48 to $255.30.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $255.59 to $256.25.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $258.05 to $258.78.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $259.17 to $260.04.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $260.23 to $260.62.
- All of the shares subject to this option are fully vested and exercisable as of the date hereof.
- This option, originally for 200,000 shares, of which 40,000 shares have been exercised, vested as to one forty-eighth of the shares on February 1, 2018 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.
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