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Filing Details

Accession Number:: 0000899243-21-046183
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-11-26 20:22:27
Reporting Period:: 2021-11-23

Accepted Time:: 2021-11-26 20:22:27
SEC Url:: Form 4 Filing

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	390 Park Avenue New York NY 10022		No	No	Yes	No
1300345	S Daniel Loeb	390 Park Avenue New York NY 10022		No	No	Yes	Yes

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2021-11-23	9,227	$190.31	9,490,773	No	4	S	Indirect	See Footnote.
Common Stock	Disposition	2021-11-23	7,254	$191.41	9,483,519	No	4	S	Indirect	See Footnote.
Common Stock	Disposition	2021-11-23	12,516	$192.60	9,471,003	No	4	S	Indirect	See Footnote.
Common Stock	Disposition	2021-11-23	18,233	$193.58	9,452,770	No	4	S	Indirect	See Footnote.
Common Stock	Disposition	2021-11-23	22,005	$194.39	9,430,765	No	4	S	Indirect	See Footnote.
Common Stock	Disposition	2021-11-23	30,765	$195.47	9,400,000	No	4	S	Indirect	See Footnote.
Common Stock	Disposition	2021-11-23	18,513	$200.43	9,381,487	No	4	S	Indirect	See Footnote.
Common Stock	Disposition	2021-11-23	20,544	$201.35	9,360,943	No	4	S	Indirect	See Footnote.
Common Stock	Disposition	2021-11-23	25,277	$202.54	9,335,666	No	4	S	Indirect	See Footnote.
Common Stock	Disposition	2021-11-23	15,591	$203.61	9,320,075	No	4	S	Indirect	See Footnote.
Common Stock	Disposition	2021-11-23	14,993	$204.59	9,305,082	No	4	S	Indirect	See Footnote.
Common Stock	Disposition	2021-11-23	5,082	$205.38	9,300,000	No	4	S	Indirect	See Footnote.

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

Footnotes

The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by 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 the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $190.00 to $190.95, inclusive. The Reporting Persons undertake 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 this footnote 2 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 $191.00 to $191.97, inclusive. The Reporting Persons undertake 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 this footnote 3 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 $192.00 to $192.975, inclusive. The Reporting Persons undertake 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 this footnote 4 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 $193.00 to $193.99, inclusive. The Reporting Persons undertake 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 this footnote 5 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 $194.00 to $194.97, inclusive. The Reporting Persons undertake 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 this footnote 6 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 $195.00 to $195.58, inclusive. The Reporting Persons undertake 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 this footnote 7 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 $200.00 to $200.995, inclusive. The Reporting Persons undertake 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 this footnote 8 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 $201.00 to $201.995, inclusive. The Reporting Persons undertake 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 this footnote 9 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 $202.00 to $202.995, inclusive. The Reporting Persons undertake 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 this footnote 10 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 $203.00 to $203.99, inclusive. The Reporting Persons undertake 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 this footnote 11 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 $204.00 to $204.99, inclusive. The Reporting Persons undertake 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 this footnote 12 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 $205.00 to $205.73, inclusive. The Reporting Persons undertake 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 this footnote 13 to this Form 4.