Filing Details
- Accession Number:
- 0001628280-22-024298
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-09-02 17:04:50
- Reporting Period:
- 2022-08-31
- Accepted Time:
- 2022-09-02 17:04:50
- 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 |
|---|---|---|---|---|---|---|---|
| 1833851 | Natalia Mirgorodskaya | C/O Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 300 San Mateo CA 94403 | Corporate Controller | No | 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 | 2022-08-31 | 17,914 | $0.00 | 42,516 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2022-09-01 | 4,000 | $0.43 | 46,516 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-09-01 | 4,000 | $25.23 | 42,516 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| 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) | Acquisiton | 2022-08-31 | 13,137 | $0.00 | 13,137 | $25.90 |
| Common Stock | Employee Stock Option (Right to buy) | Acquisiton | 2022-09-01 | 4,000 | $0.00 | 4,000 | $0.43 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 13,137 | 2032-08-31 | No | 4 | A | Direct | |
| 12,000 | 2024-09-18 | No | 4 | M | Direct |
Footnotes
- These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 1/12th of the RSUs shall vest on November 20, 2022 and at the end of each successive three-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date.
- 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 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 May 27, 2022.
- 1/36th of the shares subject to the option shall vest on September 20, 2022 and at the end of each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date.
- All of the shares subject to this option are fully vested and exercisable as of the date hereof.
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