Filing Details

Accession Number:
0001628280-23-039876
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-11-22 16:24:47
Reporting Period:
2023-11-21
Accepted Time:
2023-11-22 16:24:47
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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2023-11-21 4,265 $24.01 72,028 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S 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
  1. These shares were sold to cover tax withholding obligations in connection with the vesting of Restricted Stock Unites (RSUs).
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.79 to $24.25. 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.
  3. 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.
  4. These shares are held by 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee.
  5. These shares are held by David J Girouard, as trustee of DTG GRAT LLC, dated May 23,2023.
  6. These shares are held by Tristen Baird Willard, as trustee of the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
  7. These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
  8. These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 NONEXEMPT GIFT TRUST, dated October 19, 2020.
  9. These shares are held by Tristen Baird Willard, as trustee of the TMG 2020 NONEXEMPT GIFT TRUST, dated October 19, 2020.