Filing Details
- Accession Number:
- 0001628280-22-003595
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-02-23 20:46:05
- Reporting Period:
- 2022-02-20
- Accepted Time:
- 2022-02-23 20:46:05
- 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 |
|---|---|---|---|---|---|---|---|
| 1833851 | Natalia Mirgorodskaya | C/O Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 300 San Mateo CA 94403 | Corporate Controller | No | 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 | 2022-02-20 | 1,335 | $0.00 | 24,015 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2022-02-20 | 2,442 | $0.00 | 26,457 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2022-02-23 | 208 | $116.68 | 26,249 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to buy) | Acquisiton | 2022-02-20 | 979 | $0.00 | 979 | $130.05 |
| Common Stock | Employee Stock Option (Right to buy) | Acquisiton | 2022-02-20 | 1,791 | $0.00 | 1,791 | $130.05 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 979 | 2032-02-20 | No | 4 | A | Direct | |
| 1,791 | 2032-02-20 | No | 4 | A | Direct |
Footnotes
- These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 1/11th of the RSUs shall vest on May 20, 2022 and at the end of each successive three-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date.
- Certain of these securities are 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.
- Includes 210 shares acquired on February 15, 2022 under the Issuer's 2020 Employee Stock Purchase Plan.
- These securities are RSUs. Each RSU represents a contingent right to receive one share of Common Stock. 1/4th of the RSUs shall vest on February 20, 2025 and at the end of each successive three-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date.
- These shares were sold to cover tax withholding obligations in connection with the vesting of RSUs.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.54 to $116.70. 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.
- 1/33rd of the shares subject to the option shall vest on March 20, 2022 and at the end of each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider througheach such date.
- 1/12th of the shares subject to the option shall vest on December 20, 2024 and at the end of each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date.
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