Form 4 for UPST Upstart Holdings, Inc.
Accepted 2021-12-03 00:00:00 ET · period of report 2021-12-01 · accession 0001628280-21-024545 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2021-12-03 | 2021-12-01 | UPST | Girouard Dave | CEO, Dir, 10% | S - Sale | $194.11 | -125.0K | 143.1K | -47% | -$24.26M |
| I | 2021-12-03 | 2021-11-30 | UPST | Girouard Dave | CEO, Dir, 10% | G - Gift | $0.00 | -101.3K | 9.12M | -1% | $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 | 2021-12-01 | S | D | 3,310 | $188.48 | 139,795 | D | — | — | (F15) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $187.88 to $188.83. (F5) 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 | 2021-12-01 | S | D | 2,265 | $189.31 | 137,530 | D | — | — | (F16) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $189.04 to $189.84. (F5) 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 | 2021-12-01 | S | D | 1,128 | $190.64 | 136,402 | D | — | — | (F17) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $190.46 to $190.82. (F5) 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 | 2021-12-01 | S | D | 3,408 | $192.05 | 132,994 | D | — | — | (F18) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $191.76 to $192.52. (F5) 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 | 2021-12-01 | S | D | 4,593 | $193.24 | 128,401 | D | — | — | (F19) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $192.82 to $193.76. (F5) 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 | 2021-12-01 | S | D | 3,572 | $194.34 | 124,829 | D | — | — | (F20) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $193.90 to $194.87. (F5) 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 | 2021-12-01 | S | D | 2,878 | $195.54 | 121,951 | D | — | — | (F21) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $194.99 to $195.91. (F5) 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 | 2021-12-01 | S | D | 7,948 | $196.55 | 114,003 | D | — | — | (F22) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $196.18 to $197.175. (F5) 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 | 2021-12-01 | S | D | 6,615 | $197.68 | 107,388 | D | — | — | (F23) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $197.20 to $198.19. (F5) 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 | 2021-12-01 | S | D | 8,562 | $198.69 | 98,826 | D | — | — | (F24) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $198.20 to $199.18. (F5) 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 | 2021-12-01 | S | D | 8,558 | $199.67 | 90,268 | D | — | — | (F25) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $199.22 to $200.195. (F5) 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 | 2021-12-01 | S | D | 7,865 | $200.68 | 82,403 | D | — | — | (F26) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.235 to $201.10. (F5) 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 | 2021-12-01 | S | D | 15,814 | $201.78 | 66,589 | D | — | — | (F27) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.265 to $202.19. (F5) 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 | 2021-12-01 | S | D | 4,820 | $202.64 | 61,769 | D | — | — | (F28) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $202.275 to $203.21. (F5) 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 | 2021-12-01 | S | D | 2,378 | $204.15 | 59,391 | D | — | — | (F29) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $203.51 to $204.39. (F5) 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 | 2021-12-01 | S | D | 2,672 | $205.44 | 56,719 | D | — | — | (F30) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $204.885. to $205.855. (F5) 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 | 2021-12-01 | S | D | 2,358 | $206.25 | 54,361 | D | — | — | (F31) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $205.89 to $206.79. (F5) 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 | 2021-12-01 | S | D | 1,053 | $207.72 | 53,308 | D | — | — | (F32) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $207.07 to $207.97. (F5) 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 | 2021-11-30 | G | D | 101,270 | $0.00 | 9,116,570 | I Indirect | — | — | (F2) 101,270 shares were gifted from the Girouard Revocable Trust. (F1) These shares are held by the 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee (the "Girouard Revocable Trust"). |
| 20 | Common | Common Stock | 2021-12-01 | S | D | 3,295 | $177.36 | 175,013 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.985 to $177.95. 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 footnote (4) and footnotes (7) through (32) to this Form 4. (F6) Immediately prior to the sale by the Reporting Person of an aggregate of 125,000 shares of Common Stock, the Girouard Revocable Trust transferred 125,000 shares of Common Stock to the Reporting Person. (F5) 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 | 2021-12-01 | S | D | 7,990 | $178.67 | 167,023 | D | — | — | (F7) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.005 to $179.00. (F5) 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 | 2021-12-01 | S | D | 2,692 | $179.10 | 164,331 | D | — | — | (F8) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.005 to $179.501. (F5) 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 | 2021-12-01 | S | D | 1,080 | $180.92 | 163,251 | D | — | — | (F9) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.76 to $181.15. (F5) 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 | 2021-12-01 | S | D | 928 | $182.30 | 162,323 | D | — | — | (F10) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $182.15 to $182.43. (F5) 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 | 2021-12-01 | S | D | 1,479 | $184.04 | 160,844 | D | — | — | (F11) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $183.56 to $184.54. (F5) 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 | 2021-12-01 | S | D | 8,497 | $185.28 | 152,347 | D | — | — | (F12) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $184.75 to $185.74. (F5) 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 | 2021-12-01 | S | D | 5,259 | $186.33 | 147,088 | D | — | — | (F13) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $185.77 to $186.74. (F5) 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 | Common | Common Stock | 2021-12-01 | S | D | 3,983 | $187.31 | 143,105 | D | — | — | (F14) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $186.80 to $187.77. (F5) 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. |