Form 4 for UPST Upstart Holdings, Inc.
Accepted 2021-08-18 00:00:00 ET · period of report 2021-08-16 · accession 0001209191-21-052430 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-18 | 2021-08-16 | UPST | Gu Paul | SVP, Product, Data Science, Dir | S - Sale+OE | $201.88 | -155.0K | 266.4K | -37% | -$31.29M |
| DM | 2021-08-18 | 2021-08-16 | UPST | Gu Paul | SVP, Product, Data Science, Dir | M - OptEx | $0.1697 | +155.0K | 410.4K | +61% | +$26.3K |
| DM | 2021-08-18 | 2021-08-16 | UPST | Gu Paul | SVP, Product, Data Science, Dir | M - OptEx | $0.00 | -155.0K | 261.9K | -37% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-16 | S | D | 3,500 | $208.64 | 277,218 | D | — | — | (F22) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $208.02 to $209.00. (F2) 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. |
| 2 | Common | Common Stock | 2021-08-16 | S | D | 2,200 | $207.48 | 280,718 | D | — | — | (F21) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $207.00 to $207.96. (F2) 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 | Common | Common Stock | 2021-08-16 | S | D | 9,512 | $210.34 | 256,918 | D | — | — | (F24) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $210.07 to $211.06. (F2) 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. |
| 4 | Common | Common Stock | 2021-08-16 | S | D | 1,000 | $211.65 | 255,918 | D | — | — | (F25) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $211.19 to $212.00. (F2) 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. |
| 5 | Common | Common Stock | 2021-08-16 | S | D | 400 | $212.84 | 255,518 | D | — | — | (F26) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $212.34 to $213.32. (F2) 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. |
| 6 | Common | Common Stock | 2021-08-16 | S | D | 106 | $213.82 | 255,412 | D | — | — | (F27) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $213.62 to $213.83. (F2) 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. |
| 7 | Common | Common Stock | 2021-08-16 | M | A | 116,876 | $0.15 | 372,288 | D | — | — | (F2) 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. |
| 8 | Common | Common Stock | 2021-08-16 | M | A | 38,124 | $0.23 | 410,412 | D | — | — | (F2) 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. |
| 9 | Common | Common Stock | 2021-08-16 | S | D | 500 | $189.29 | 409,912 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $188.81 to $189.50. 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 (27) to this Form 4. (F2) 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. |
| 10 | Common | Common Stock | 2021-08-16 | S | D | 1,400 | $190.36 | 408,512 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $189.90 to $190.88. (F2) 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. |
| 11 | Common | Common Stock | 2021-08-16 | S | D | 1,500 | $191.49 | 407,012 | D | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $190.90 to $191.88. (F2) 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. |
| 12 | Common | Common Stock | 2021-08-16 | S | D | 800 | $192.29 | 406,212 | D | — | — | (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $191.96 to $192.73. (F2) 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. |
| 13 | Common | Common Stock | 2021-08-16 | S | D | 900 | $193.45 | 405,312 | D | — | — | (F7) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $192.96 to $193.91. (F2) 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. |
| 14 | Common | Common Stock | 2021-08-16 | S | D | 2,800 | $194.48 | 402,512 | D | — | — | (F8) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $193.96 to $194.95. (F2) 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. |
| 15 | Common | Common Stock | 2021-08-16 | S | D | 9,979 | $195.42 | 392,533 | D | — | — | (F9) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $194.96 to $195.95. (F2) 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. |
| 16 | Common | Common Stock | 2021-08-16 | S | D | 13,221 | $196.46 | 379,312 | D | — | — | (F10) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $195.97 to $196.95. (F2) 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. |
| 17 | Common | Common Stock | 2021-08-16 | S | D | 8,700 | $197.35 | 370,612 | D | — | — | (F11) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $196.99 to $197.98. (F2) 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. |
| 18 | Common | Common Stock | 2021-08-16 | S | D | 5,200 | $198.51 | 365,412 | D | — | — | (F12) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $198.00 to $198.99. (F2) 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. |
| 19 | Common | Common Stock | 2021-08-16 | S | D | 11,704 | $199.58 | 353,708 | D | — | — | (F13) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $199.00 to $199.99. (F2) 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. |
| 20 | Common | Common Stock | 2021-08-16 | S | D | 14,563 | $200.51 | 339,145 | D | — | — | (F14) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.00 to $200.99. (F2) 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. |
| 21 | Common | Common Stock | 2021-08-16 | S | D | 11,665 | $201.50 | 327,480 | D | — | — | (F15) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.00 to $201.99. (F2) 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. |
| 22 | Common | Common Stock | 2021-08-16 | S | D | 9,800 | $202.56 | 317,600 | D | — | — | (F16) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $202.00 to $202.97. (F2) 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. |
| 23 | Common | Common Stock | 2021-08-16 | S | D | 10,150 | $203.58 | 307,530 | D | — | — | (F17) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $203.00 to $203.99. (F2) 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. |
| 24 | Common | Common Stock | 2021-08-16 | S | D | 16,112 | $204.51 | 291,418 | D | — | — | (F18) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $204.00 to $204.99. (F2) 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. |
| 25 | Common | Common Stock | 2021-08-16 | S | D | 5,100 | $205.48 | 286,318 | D | — | — | (F19) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $205.00 to $205.99. (F2) 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. |
| 26 | Common | Common Stock | 2021-08-16 | S | D | 3,400 | $206.47 | 282,918 | D | — | — | (F20) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $206.00 to $206.99. (F2) 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. |
| 27 | Common | Common Stock | 2021-08-16 | S | D | 10,788 | $209.86 | 266,430 | D | — | — | (F23) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $209.06 to $210.05. (F2) 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. |
| 28 | Derivative | Employee Stock Option (Right to buy) | 2021-08-16 | M | D | 116,876 | $0.00 | 0 | D | $0.15 · — to 2022-08-21 | 116,876 Common Stock | (F28) All of the shares subject to this option are fully vested and exercisable as of the date hereof. |
| 29 | Derivative | Employee Stock Option (Right to buy) | 2021-08-16 | M | D | 38,124 | $0.00 | 261,876 | D | $0.23 · — to 2023-05-23 | 38,124 Common Stock | (F28) All of the shares subject to this option are fully vested and exercisable as of the date hereof. |