Form 4 for UPST Upstart Holdings, Inc.

Accepted 2022-01-06 00:00:00 ET · period of report 2022-01-04 · accession 0001628280-22-000455 · 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	2022-01-06	2022-01-04	UPST	Gu Paul	SVP, Product, Data Science, Dir	M - OptEx	$2.64	+41.7K	446.6K	+10%	+$110.3K
DM	2022-01-06	2022-01-04	UPST	Gu Paul	SVP, Product, Data Science, Dir	M - OptEx	$0.00	-41.7K	130.8K	-24%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2022-01-04	M	A	12,500	$3.80	459,120	D	—	—	(F1) 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	2022-01-04	M	A	29,208	$2.15	446,620	D	—	—	(F1) 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	Derivative	Employee Stock Option (Right to buy)	2022-01-04	M	D	12,500	$0.00	137,500	D	$3.80 · — to 2029-03-29	12,500 Common Stock	(F3) All of the shares subject to this option are fully vested and exercisable as of the date hereof.
4	Derivative	Employee Stock Option (Right to buy)	2022-01-04	M	D	29,208	$0.00	130,792	D	$2.15 · — to 2027-12-18	29,208 Common Stock	(F2) This option, originally for 200,000 shares, of which 69,208 shares have been exercised, vested as to one forty-eighth of the shares on February 1, 2018 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.