Filing Details

Accession Number:
0001628280-22-030758
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-11-23 17:21:42
Reporting Period:
2022-11-21
Accepted Time:
2022-11-23 17:21:42
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
1832808 Sanjay Datta C/O Upstart Holdings, Inc.
2950 S. Delaware Street, Suite 300
San Mateo CA 94403
Chief Financial Officer 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 2022-11-21 3,200 $1.35 56,708 No 4 M Direct
Common Stock Disposition 2022-11-21 3,200 $18.55 53,508 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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) Disposition 2022-11-21 3,200 $0.00 3,200 $1.35
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
94,639 2026-12-28 No 4 M Direct
Footnotes
  1. The option exercise and sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 30, 2022.
  2. 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.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.48 to $18.70. 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 this range.
  4. All of the shares subject to this option are fully vested and exercisable as of the date hereof.