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Home > Insider Trading > Filing (0001628280-21-024545)

Filing Details

Accession Number:
0001628280-21-024545
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-12-03 21:10:57
Reporting Period:
2021-12-01
Accepted Time:
2021-12-03 21:10:57
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 2021-11-30 101,270 $0.00 9,116,570 No 5 G Indirect Indirect
Common Stock Disposition 2021-12-01 3,295 $177.36 175,013 No 4 S Direct
Common Stock Disposition 2021-12-01 7,990 $178.67 167,023 No 4 S Direct
Common Stock Disposition 2021-12-01 2,692 $179.10 164,331 No 4 S Direct
Common Stock Disposition 2021-12-01 1,080 $180.92 163,251 No 4 S Direct
Common Stock Disposition 2021-12-01 928 $182.30 162,323 No 4 S Direct
Common Stock Disposition 2021-12-01 1,479 $184.04 160,844 No 4 S Direct
Common Stock Disposition 2021-12-01 8,497 $185.28 152,347 No 4 S Direct
Common Stock Disposition 2021-12-01 5,259 $186.33 147,088 No 4 S Direct
Common Stock Disposition 2021-12-01 3,983 $187.31 143,105 No 4 S Direct
Common Stock Disposition 2021-12-01 3,310 $188.48 139,795 No 4 S Direct
Common Stock Disposition 2021-12-01 2,265 $189.31 137,530 No 4 S Direct
Common Stock Disposition 2021-12-01 1,128 $190.64 136,402 No 4 S Direct
Common Stock Disposition 2021-12-01 3,408 $192.05 132,994 No 4 S Direct
Common Stock Disposition 2021-12-01 4,593 $193.24 128,401 No 4 S Direct
Common Stock Disposition 2021-12-01 3,572 $194.34 124,829 No 4 S Direct
Common Stock Disposition 2021-12-01 2,878 $195.54 121,951 No 4 S Direct
Common Stock Disposition 2021-12-01 7,948 $196.55 114,003 No 4 S Direct
Common Stock Disposition 2021-12-01 6,615 $197.68 107,388 No 4 S Direct
Common Stock Disposition 2021-12-01 8,562 $198.69 98,826 No 4 S Direct
Common Stock Disposition 2021-12-01 8,558 $199.67 90,268 No 4 S Direct
Common Stock Disposition 2021-12-01 7,865 $200.68 82,403 No 4 S Direct
Common Stock Disposition 2021-12-01 15,814 $201.78 66,589 No 4 S Direct
Common Stock Disposition 2021-12-01 4,820 $202.64 61,769 No 4 S Direct
Common Stock Disposition 2021-12-01 2,378 $204.15 59,391 No 4 S Direct
Common Stock Disposition 2021-12-01 2,672 $205.44 56,719 No 4 S Direct
Common Stock Disposition 2021-12-01 2,358 $206.25 54,361 No 4 S Direct
Common Stock Disposition 2021-12-01 1,053 $207.72 53,308 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 G Indirect Indirect
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 Direct
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 Direct
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 Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,015,346 Indirect See Footnote
Common Stock 8,991,570 Indirect Indirect
Footnotes
  1. These shares are held by the 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee (the "Girouard Revocable Trust").
  2. 101,270 shares were gifted from the Girouard Revocable Trust.
  3. 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.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.985 to $177.95. 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 (4) and footnotes (7) through (32) to this Form 4.
  5. 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.
  6. 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.
  7. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.005 to $179.00.
  8. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.005 to $179.501.
  9. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.76 to $181.15.
  10. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $182.15 to $182.43.
  11. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $183.56 to $184.54.
  12. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $184.75 to $185.74.
  13. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $185.77 to $186.74.
  14. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $186.80 to $187.77.
  15. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $187.88 to $188.83.
  16. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $189.04 to $189.84.
  17. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $190.46 to $190.82.
  18. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $191.76 to $192.52.
  19. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $192.82 to $193.76.
  20. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $193.90 to $194.87.
  21. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $194.99 to $195.91.
  22. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $196.18 to $197.175.
  23. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $197.20 to $198.19.
  24. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $198.20 to $199.18.
  25. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $199.22 to $200.195.
  26. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.235 to $201.10.
  27. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.265 to $202.19.
  28. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $202.275 to $203.21.
  29. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $203.51 to $204.39.
  30. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $204.885. to $205.855.
  31. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $205.89 to $206.79.
  32. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $207.07 to $207.97.
  33. These shares are held by David J. Girouard, as trustee of the Girouard 2020 GRAT, dated October 19, 2020 (the "2020 GRAT"). The number of shares held reflects the transfer to the 2020 GRAT of (i) 407,673 shares from the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020, and (ii) 407,673 shares from the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
  34. These shares are held by the Girouard Revocable Trust.
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