Form 4 for UPST Upstart Holdings, Inc.
Accepted 2021-12-03 00:00:00 ET · period of report 2021-12-01 · accession 0001628280-21-024547 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2021-12-03 | 2021-12-01 | UPST | Girouard Dave | CEO, Dir, 10% | S - Sale | $202.45 | -12.5K | 573.1K | -2% | -$2.53M |
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 | 633 | $204.23 | 569,111 | I See Footnote | — | — | (F9) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $204.17 to $205.005. (F4) These shares are held by the JRG Trust. |
| 2 | Common | Common Stock | 2021-12-01 | S | D | 1,076 | $205.56 | 568,035 | I See Footnote | — | — | (F10) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $205.22 to $206.09. (F4) These shares are held by the JRG Trust. |
| 3 | Common | Common Stock | 2021-12-01 | S | D | 424 | $206.41 | 567,611 | I See Footnote | — | — | (F11) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $206.29 to $206.79. (F4) These shares are held by the JRG Trust. |
| 4 | Common | Common Stock | 2021-12-01 | S | D | 280 | $207.83 | 567,331 | I See Footnote | — | — | (F12) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $207.59 to $207.97. (F4) These shares are held by the JRG Trust. |
| 5 | Common | Common Stock | 2021-12-01 | S | D | 359 | $196.66 | 573,221 | I See Footnote | — | — | (F14) The number of shares held reflects the transfer of 407,673 shares from Tristen Baird Willard, as trustee of the TMG Trust, to the 2020 GRAT. (F15) These shares are held by the TMG Trust. |
| 6 | Common | Common Stock | 2021-12-01 | S | D | 614 | $198.44 | 572,607 | I See Footnote | — | — | (F16) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $198.02 to $198.88. (F15) These shares are held by the TMG Trust. |
| 7 | Common | Common Stock | 2021-12-01 | S | D | 482 | $199.41 | 572,125 | I See Footnote | — | — | (F17) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $199.13 to $199.62. (F15) These shares are held by the TMG Trust. |
| 8 | Common | Common Stock | 2021-12-01 | S | D | 595 | $200.63 | 571,530 | I See Footnote | — | — | (F18) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.29 to $200.95. (F15) These shares are held by the TMG Trust. |
| 9 | Common | Common Stock | 2021-12-01 | S | D | 1,636 | $201.81 | 569,894 | I See Footnote | — | — | (F19) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.49 to $202.07. (F15) These shares are held by the TMG Trust. |
| 10 | Common | Common Stock | 2021-12-01 | S | D | 186 | $202.56 | 569,708 | I See Footnote | — | — | (F15) These shares are held by the TMG Trust. |
| 11 | Common | Common Stock | 2021-12-01 | S | D | 759 | $204.49 | 568,949 | I See Footnote | — | — | (F20) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $204.24 to $205.22. (F15) These shares are held by the TMG Trust. |
| 12 | Common | Common Stock | 2021-12-01 | S | D | 1,064 | $206.01 | 567,885 | I See Footnote | — | — | (F21) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $205.54 to $206.29. (F15) These shares are held by the TMG Trust. |
| 13 | Common | Common Stock | 2021-12-01 | S | D | 384 | $206.94 | 567,501 | I See Footnote | — | — | (F22) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $206.67 to $207.59. (F15) These shares are held by the TMG Trust. |
| 14 | Common | Common Stock | 2021-12-01 | S | D | 188 | $203.11 | 569,744 | I See Footnote | — | — | (F4) These shares are held by the JRG Trust. |
| 15 | Common | Common Stock | 2021-12-01 | S | D | 1,276 | $202.01 | 569,932 | I See Footnote | — | — | (F8) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.67 to $202.50. (F4) These shares are held by the JRG Trust. |
| 16 | Common | Common Stock | 2021-12-01 | S | D | 740 | $201.23 | 571,208 | I See Footnote | — | — | (F7) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.67 to $201.66. (F4) These shares are held by the JRG Trust. |
| 17 | Common | Common Stock | 2021-12-01 | S | D | 612 | $199.92 | 571,948 | I See Footnote | — | — | (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $199.565 to $200.335. (F4) These shares are held by the JRG Trust. |
| 18 | Common | Common Stock | 2021-12-01 | S | D | 512 | $198.94 | 572,560 | I See Footnote | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $198.37 to $199.34. (F4) These shares are held by the JRG Trust. |
| 19 | Common | Common Stock | 2021-12-01 | S | D | 170 | $207.97 | 567,331 | I See Footnote | — | — | (F15) These shares are held by the TMG Trust. |
| 20 | Common | Common Stock | 2021-12-01 | S | D | 508 | $196.75 | 573,072 | I See Footnote | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $196.425 to $197.385. 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 (2), footnotes (5) through (12), and footnotes (16) through (22) to this Form 4. (F3) The number of shares held reflects the transfer of 407,673 shares from Tristen Baird Willard, as trustee of the JRG Trust, to David J. Girouard, as trustee of the Girouard 2020 GRAT, dated October 19, 2020 (the "2020 GRAT"). (F4) These shares are held by the JRG Trust. |