Filing Details
- Accession Number:
- 0001628280-21-023759
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-17 20:00:55
- Reporting Period:
- 2021-11-15
- Accepted Time:
- 2021-11-17 20:00:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1829575 | Mary Hentges | C/O Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 300 San Mateo CA 94403 | Yes | No | 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 | 2021-11-15 | 30,000 | $3.89 | 31,491 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-15 | 639 | $237.94 | 30,852 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 1,569 | $238.93 | 29,283 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 8,012 | $240.05 | 21,271 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 1,893 | $241.06 | 19,378 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 896 | $242.11 | 18,482 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 1,025 | $243.69 | 17,457 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 2,052 | $246.27 | 15,405 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 2,017 | $247.43 | 13,388 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 1,609 | $248.33 | 11,779 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 903 | $249.45 | 10,876 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 2,486 | $250.28 | 8,390 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 1,944 | $251.21 | 6,446 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 900 | $252.45 | 5,546 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 1,798 | $253.61 | 3,748 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 755 | $254.51 | 2,993 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 330 | $256.04 | 2,663 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 201 | $257.61 | 2,462 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 514 | $258.46 | 1,948 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 297 | $260.00 | 1,651 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-15 | 160 | $261.58 | 1,491 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | |
| No | 4 | S | 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 | |
| No | 4 | S | 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
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to buy) | Disposition | 2021-11-15 | 30,000 | $0.00 | 30,000 | $3.89 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 98,295 | 2029-12-06 | 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 August 30, 2021 .
- Certain of these securities are restricted stock units (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 $237.47 to $238.42. The Reporting Person undertakes to provide to the 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 the ranges set forth in footnotes (3) through (20) 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 $238.47 to $239.435.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $239.47 to $240.445.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $240.695 to $241.63.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $241.805 to $242.49.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $243.34 to $244.26.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $245.765 to $246.75.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $246.83 to $247.80.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $247.85 to $248.80.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $248.85 to $249.84.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $249.90 to $250.85.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $250.90 to $251.75.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $252.08 to $253.04.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $253.09 to $253.99.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $254.11 to $255.05.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $255.505 to $256.375.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $257.245 to $258.13.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $258.45 to $259.38.
- This option, originally for 128,295 shares, of which 30,000 shares have been exercised, vested as to one twenty-fourth of the shares on February 1, 2020 and one twenty-fourth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.
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