Form 4 for UPST Upstart Holdings, Inc.
Accepted 2026-01-07 00:00:00 ET · period of report 2026-01-05 · accession 0001558259-26-000002 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2026-01-07 | 2026-01-05 | UPST | Darling Scott | CLO | S - Sale+OE | $50.00 | -1,000 | 17.4K | -5% | -$50.0K |
| DI | 2026-01-07 | 2026-01-05 | UPST | Darling Scott | CLO | J - Other | — | +1,000 | 18.4K | +6% | — |
| D | 2026-01-07 | 2026-01-05 | UPST | Darling Scott | CLO | M - OptEx | $13.22 | +1,000 | 93.6K | +1% | +$13.2K |
| D | 2026-01-07 | 2026-01-05 | UPST | Darling Scott | CLO | J - Other | — | -1,000 | 92.6K | -1% | — |
| D | 2026-01-07 | 2026-01-05 | UPST | Darling Scott | CLO | M - OptEx | $0.00 | -1,000 | 194.5K | -0.5% | $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 | 2026-01-05 | S | D | 1,000 | $50.00 | 17,435 | I | — | — | |
| 2 | Common | Common Stock | 2026-01-05 | J | A | 1,000 | — | 18,435 | I | — | — | (F3) No consideration; change in form of ownership only. |
| 3 | Common | Common Stock | 2026-01-05 | M | A | 1,000 | $13.22 | 93,598 | D by trust | — | — | (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. (F4) The shares are held by the Darling Family Trust. |
| 4 | Common | Common Stock | 2026-01-05 | J | D | 1,000 | — | 92,598 | D by trust | — | — | (F3) No consideration; change in form of ownership only. (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. (F4) The shares are held by the Darling Family Trust. |
| 5 | Derivative | Employee Stock Option (Right to buy) | 2026-01-05 | M | D | 1,000 | $0.00 | 194,527 | D | $13.22 · — to 2032-12-31 | 1,000 Common Stock | (F5) 1/48 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 such date. |