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Filing Details

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 And Secretary	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
Common Stock	Acquisiton	2022-05-13	59,950	$2.15	246,317	No	4	M	Direct
Common Stock	Acquisiton	2022-05-13	17,495	$3.80	263,812	No	4	M	Direct
Common Stock	Acquisiton	2022-05-13	3,153	$3.80	266,965	No	4	M	Direct
Common Stock	Acquisiton	2022-05-13	7,190	$8.88	274,155	No	4	M	Direct
Common Stock	Acquisiton	2022-05-16	600	$0.60	274,755	No	4	M	Direct
Common Stock	Disposition	2022-05-16	600	$40.09	274,155	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	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)	Disposition	2022-05-13	59,950	$0.00	59,950	$2.15
Common Stock	Employee Stock Option (Right to buy)	Disposition	2022-05-13	17,495	$0.00	17,495	$3.80
Common Stock	Employee Stock Option (Right to buy)	Disposition	2022-05-13	3,153	$0.00	3,153	$3.80
Common Stock	Employee Stock Option (Right to buy)	Disposition	2022-05-13	7,190	$0.00	7,190	$8.88
Common Stock	Employee Stock Option (Right to buy)	Disposition	2022-05-16	600	$0.00	600	$0.60

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2027-12-18	No	4	M	Direct
82,505	2029-03-29	No	4	M	Direct
21,847	2029-03-29	No	4	M	Direct
117,810	2030-01-31	No	4	M	Direct
44,400	2025-01-14	No	4	M	Direct

Footnotes

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.
This 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.22. 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.
All of the shares subject to this option are fully vested and exercisable as of the date hereof.
This option, originally for 125,000 shares, of which 7,190 shares have been exercised, vested as to one-twelfth of the shares on February 1, 2022 and one-twelfth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.