Form 4 for UPST Upstart Holdings, Inc.

Accepted 2022-02-23 00:00:00 ET · period of report 2022-02-20 · accession 0001628280-22-003600 · 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
D	2022-02-23	2022-02-20	UPST	Datta Sanjay	CFO	A - Grant	$0.00	+25.9K	53.5K	+94%	$0
D	2022-02-23	2022-02-20	UPST	Datta Sanjay	CFO	A - Grant	$0.00	+57.0K	57.0K	New	$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	2022-02-20	A	A	25,922	$0.00	53,508	D	—	—	(F1) These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 1/4th of the RSUs shall vest on May 20, 2024 and at the end of each successive three-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. (F3) Includes 2,000 shares acquired on August 18, 2021 and 174 shares acquired on February 15, 2022, each under the Issuer's 2020 Employee Stock Purchase Plan. (F2) Certain of these securities are 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	Derivative	Employee Stock Option (Right to buy)	2022-02-20	A	A	57,027	$0.00	57,027	D	$130.05 · — to 2032-02-20	57,027 Common Stock	(F4) 1/12th of the shares subject to the option shall vest on March 20, 2024 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date.