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Filing Details

Accession Number:: 0001628280-24-049915
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2024-12-04 16:10:11
Reporting Period:: 2024-12-02

Accepted Time:: 2024-12-04 16:10:11
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
1832812	Paul Gu	C/O Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 410 San Mateo CA 94403	Chief Technology Offier	Yes	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	2024-12-02	87,600	$1.17	950,665	No	4	M	Direct
Common Stock	Disposition	2024-12-02	17,456	$67.70	933,209	No	4	S	Direct
Common Stock	Disposition	2024-12-02	23,109	$68.52	910,100	No	4	S	Direct
Common Stock	Disposition	2024-12-02	17,614	$69.49	892,486	No	4	S	Direct
Common Stock	Disposition	2024-12-02	21,039	$70.41	871,447	No	4	S	Direct
Common Stock	Disposition	2024-12-02	5,782	$71.26	865,665	No	4	S	Direct
Common Stock	Disposition	2024-12-02	2,600	$75.26	863,065	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

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	2024-12-02	87,600	$0.00	87,600	$1.17

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
72,400		2026-06-24	No	4	M	Direct

Footnotes

The 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 February 29, 2024.
Certain of the securities reported in Column 5 of each row of Table I are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock, subject to theapplicable 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 $67.01 to 68.00. 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 theranges 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 68.01 to 69.005.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 69.01 to 69.97.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 70.02 to 71.01.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 71.03 to 77.595.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 75.00 to 75.355.
All of the shares subject to this option are fully vested and exercisable as of the date hereof.