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Filing Details

Accession Number:: 0001628280-24-051876
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2024-12-18 16:15:08
Reporting Period:: 2024-12-16

Accepted Time:: 2024-12-18 16:15:08
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

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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	2024-12-16	41,667	$0.83	98,805	No	4	M	Direct
Common Stock	Disposition	2024-12-16	3,374	$81.70	95,431	No	4	S	Direct
Common Stock	Disposition	2024-12-16	21,434	$83.01	73,997	No	4	S	Direct
Common Stock	Disposition	2024-12-16	14,123	$83.80	59,874	No	4	S	Direct
Common Stock	Disposition	2024-12-16	2,736	$84.70	57,138	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

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	2024-12-16	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
1,126,744		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

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 August 29, 2024.
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 $81.2650 to $82.20. 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 (6) 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 $82.37 to $83.35.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $83.38 to $84.37.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $84.4150 to $85.00.
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 JRG 2020 NONEXEMPT 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.
All of the shares subject to this option are fully vested and exercisable as of the date hereof.