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Filing Details

Accession Number:: 0001628280-21-025697
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-12-30 18:08:06
Reporting Period:: 2021-12-29

Accepted Time:: 2021-12-30 18:08:06
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
1833661	Alison Nicoll	C/O Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 300 San Mateo CA 94403	General Counsel	No	Yes	No	No

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
Common Stock	Acquisiton	2021-12-29	7,500	$0.23	186,780	No	4	M	Direct
Common Stock	Disposition	2021-12-29	214	$142.27	186,566	No	4	S	Direct
Common Stock	Disposition	2021-12-29	1,159	$144.05	185,407	No	4	S	Direct
Common Stock	Disposition	2021-12-29	860	$145.22	184,547	No	4	S	Direct
Common Stock	Disposition	2021-12-29	2,028	$146.20	182,519	No	4	S	Direct
Common Stock	Disposition	2021-12-29	1,946	$147.53	180,573	No	4	S	Direct
Common Stock	Disposition	2021-12-29	1,093	$148.43	179,480	No	4	S	Direct
Common Stock	Disposition	2021-12-29	200	$149.81	179,280	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	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 Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (Right to buy)	Disposition	2021-12-29	7,500	$0.00	7,500	$0.23

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
5,000		2023-05-23	No	4	M	Direct

Footnotes

The option exercise and the sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2021.
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 $143.68 to $144.50. 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 (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 $144.91 to $145.56.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $146.03 to $146.60.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $147.16 to $148.07.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $148.28 to $148.91.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $149.80 to $149.82.
All of the shares subject to this option are fully vested and exercisable as of the date hereof.