Filing Details
- Accession Number:
- 0001628280-24-047194
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-11-12 16:28:28
- Reporting Period:
- 2024-11-08
- Accepted Time:
- 2024-11-12 16:28:28
- 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 410 San Mateo CA 94403 | Chief Executive Officer | Yes | Yes | Yes | 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 | 2024-11-08 | 41,667 | $0.83 | 103,179 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-11-08 | 41,667 | $65.15 | 61,512 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2024-11-08 | 41,667 | $0.00 | 41,667 | $0.83 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,210,078 | 2026-09-20 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 8,342,701 | Indirect | See Footnote |
| Common Stock | 1,000,000 | Indirect | See Footnote |
| Common Stock | 546,501 | Indirect | See Footnote |
| Common Stock | 546,501 | Indirect | See Footnote |
| Common Stock | 126,057 | Indirect | See Footnote |
| Common Stock | 126,057 | Indirect | See Footnote |
Footnotes
- This option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 29, 2023.
- 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.655 to $65.57. The Reporting Person undertakes to provide tothe 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 therange set forth in this footnote.
- These shares are held by 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee.
- These shares are held by David J Girouard, as trustee of the DTG GRAT LLC, dated May 23,2023.
- These shares are held by Tristen Baird Willard, as trustee of the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
- These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
- These shares are held by Tristen Baird Willard, as trustee of the TMG 2020 NONEXEMPT GIFT TRUST, dated October 19, 2020.
- These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 NONEXEMPT GIFT TRUST, dated October 19, 2020.
- All of the shares subject to this option are fully vested and exercisable as of the date hereof.
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