Home > Insider Trading > Filing (0001628280-21-024547)

Filing Details

Accession Number:: 0001628280-21-024547
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-12-03 21:12:16
Reporting Period:: 2021-12-01

Accepted Time:: 2021-12-03 21:12:16
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	2021-12-01	508	$196.75	573,072	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	512	$198.94	572,560	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	612	$199.92	571,948	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	740	$201.23	571,208	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	1,276	$202.01	569,932	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	188	$203.11	569,744	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	633	$204.23	569,111	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	1,076	$205.56	568,035	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	424	$206.41	567,611	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	280	$207.83	567,331	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	359	$196.66	573,221	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	614	$198.44	572,607	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	482	$199.41	572,125	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	595	$200.63	571,530	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	1,636	$201.81	569,894	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	186	$202.56	569,708	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	759	$204.49	568,949	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	1,064	$206.01	567,885	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	384	$206.94	567,501	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2021-12-01	170	$207.97	567,331	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
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 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 "JRG Trust").
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $196.425 to $197.385. 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 (5) through (12), and footnotes (16) through (22) to this Form 4.
The number of shares held reflects the transfer of 407,673 shares from Tristen Baird Willard, as trustee of the JRG Trust, to David J. Girouard, as trustee of the Girouard 2020 GRAT, dated October 19, 2020 (the "2020 GRAT").
These shares are held by the JRG Trust.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $198.37 to $199.34.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $199.565 to $200.335.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.67 to $201.66.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.67 to $202.50.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $204.17 to $205.005.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $205.22 to $206.09.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $206.29 to $206.79.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $207.59 to $207.97.
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 TMG Trust").
The number of shares held reflects the transfer of 407,673 shares from Tristen Baird Willard, as trustee of the TMG Trust, to the 2020 GRAT.
These shares are held by the TMG Trust.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $198.02 to $198.88.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $199.13 to $199.62.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.29 to $200.95.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.49 to $202.07.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $204.24 to $205.22.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $205.54 to $206.29.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $206.67 to $207.59.