Form 4 for UPST Upstart Holdings, Inc.
Accepted 2022-05-04 00:00:00 ET · period of report 2022-05-02 · accession 0001628280-22-012343 · 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 | 2022-05-04 | 2022-05-02 | UPST | Girouard Dave | CEO, Dir, 10% | S - Sale | $80.00 | -4,166 | 546.5K | -0.8% | -$333.3K |
| 2022-05-04 | 2022-05-02 | UPST | Girouard Dave | CEO, Dir, 10% | S - Sale | $80.00 | -41.7K | 87.1K | -32% | -$3.33M |
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 | 2022-05-02 | S | D | 2,083 | $80.00 | 546,501 | I See Footnote | — | — | (F9) These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020. |
| 2 | Common | Common Stock | 2022-05-02 | S | D | 2,083 | $80.00 | 546,501 | I | — | — | (F8) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.00 to $80.005. |
| 3 | Common | Common Stock | 2022-05-02 | S | D | 41,667 | $80.00 | 87,114 | D 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 $80.00 to $80.035. 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 footnotes (2) and (8). (F3) 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) Immediately prior to the sale by the Reporting Person of an aggregate of 41,667 shares of Common Stock, the 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee (the "Girouard Revocable Trust"), transferred 41,667 shares of Common Stock to the Reporting Person. (F6) These shares are held by Tristen Baird Willard, as trustee of the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020. |