Filing Details

Accession Number:
0001628280-24-050263
Form Type:
4
Zero Holdings:
No
Publication Time:
2024-12-06 17:37:44
Reporting Period:
2024-12-04
Accepted Time:
2024-12-06 17:37:44
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
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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2024-12-04 28,155 $1.17 891,220 No 4 M Direct
Common Stock Disposition 2024-12-04 28,155 $75.06 863,065 No 4 S Direct
Common Stock Acquisiton 2024-12-05 4,019 $1.17 867,084 No 4 M Direct
Common Stock Disposition 2024-12-05 4,019 $75.00 863,065 No 4 S Direct
Common Stock Acquisiton 2024-12-06 40,226 $1.17 903,291 No 4 M Direct
Common Stock Disposition 2024-12-06 35,876 $75.37 867,415 No 4 S Direct
Common Stock Disposition 2024-12-06 4,350 $76.18 863,065 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S 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 2024-12-04 28,155 $0.00 28,155 $1.17
Common Stock Employee Stock Option (Right to buy) Disposition 2024-12-05 4,019 $0.00 4,019 $1.17
Common Stock Employee Stock Option (Right to buy) Disposition 2024-12-06 40,226 $0.00 40,226 $1.17
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
44,245 2026-06-24 No 4 M Direct
40,226 2026-06-24 No 4 M Direct
0 2026-06-24 No 4 M Direct
Footnotes
  1. The option exercises 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.
  2. 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.
  3. 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 75.20. The Reporting Person undertakes to provide to theIssuer, 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 (6) to this Form 4.
  4. 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 $75.005.
  5. 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 $75.99.
  6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.005 to $76.31.
  7. All of the shares subject to this option are fully vested and exercisable as of the date hereof.