Filing Details
- Accession Number:
- 0001628280-23-008779
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-21 17:46:44
- Reporting Period:
- 2023-03-17
- Accepted Time:
- 2023-03-21 17:46:44
- 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 |
|---|---|---|---|---|---|---|---|
| 1832808 | Sanjay Datta | C/O Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 300 San Mateo CA 94403 | Chief Financial Officer | 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 | 2023-03-17 | 167,598 | $0.00 | 448,268 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2023-03-20 | 3,200 | $1.35 | 451,468 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-03-20 | 3,200 | $15.16 | 448,268 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | 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) | Acquisiton | 2023-03-17 | 318,436 | $0.00 | 318,436 | $15.23 |
| Common Stock | Employee Stock Option (Right to buy) | Disposition | 2023-03-20 | 3,200 | $15.16 | 3,200 | $1.35 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 318,436 | 2033-03-17 | No | 4 | A | Direct | |
| 41,139 | 2026-12-28 | No | 4 | M | Direct |
Footnotes
- These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 1/16th of the RSUs shall vest on May 20, 2023 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.
- The option exercise and sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 30, 2022.
- 1/48th of the shares subject to the option shall vest on March 20, 2023 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date.
- All of the shares subject to this option are fully vested and exercisable as of the date hereof.
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