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Filing Details

Accession Number:: 0001628280-24-002355
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2024-01-26 16:17:23
Reporting Period:: 2024-01-24

Accepted Time:: 2024-01-26 16:17:23
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1647639	Upstart Holdings Inc.	UPST	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1558259	Scott Darling	C/O Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 410 San Mateo CA 94403	Chief Legal Officer	No	Yes	No	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	2024-01-24	842	$13.22	173,369	No	4	M	Direct
Common Stock	Disposition	2024-01-24	502	$35.62	172,867	No	4	S	Direct
Common Stock	Disposition	2024-01-24	260	$36.45	172,607	No	4	S	Direct
Common Stock	Disposition	2024-01-24	80	$37.42	172,527	No	4	S	Direct
Common Stock	Disposition	2024-01-24	1,200	$35.56	171,327	No	4	S	Direct
Common Stock	Disposition	2024-01-24	650	$36.48	170,677	No	4	S	Direct
Common Stock	Disposition	2024-01-24	200	$37.47	170,477	No	4	S	Direct
Common Stock	Acquisiton	2024-01-25	20	$13.22	170,497	No	4	M	Direct
Common Stock	Disposition	2024-01-25	20	$35.08	170,477	No	4	S	Direct
Common Stock	Disposition	2024-01-25	40	$35.05	170,437	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
No	4	S	Direct
No	4	S	Direct
No	4	M	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	2024-01-24	842	$0.00	842	$13.22
Common Stock	Employee Stock Option (Right to buy)	Disposition	2024-01-25	20	$0.00	20	$13.22

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
425,018		2032-12-31	No	4	M	Direct
424,998		2032-12-31	No	4	M	Direct

Footnotes

The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 30, 2023.
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 $35.04 to $35.98. 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 (2) through (10) 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 $36.04 to $36.95.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.24 to $37.5375.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.02 to $35.86.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.05 to $36.885.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.10 to $37.78.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.075 to $35.0825.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.09.
1/48th of the shares subject to the option shall vest on January 20, 2023 and at the end of each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each suchdate.