Form 4 for UPST Upstart Holdings, Inc.
Accepted 2022-09-02 00:00:00 ET · period of report 2022-08-31 · accession 0001628280-22-024298 · 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 | 2022-09-02 | 2022-09-01 | UPST | Mirgorodskaya Natalia | Corp. Ctrl | S - Sale+OE | $25.23 | -4,000 | 42.5K | -9% | -$100.9K |
| D | 2022-09-02 | 2022-08-31 | UPST | Mirgorodskaya Natalia | Corp. Ctrl | A - Grant | $0.00 | +17.9K | 42.5K | +73% | $0 |
| D | 2022-09-02 | 2022-09-01 | UPST | Mirgorodskaya Natalia | Corp. Ctrl | M - OptEx | $0.43 | +4,000 | 46.5K | +9% | +$1,720 |
| D | 2022-09-02 | 2022-09-01 | UPST | Mirgorodskaya Natalia | Corp. Ctrl | M - OptEx | $0.00 | +4,000 | 12.0K | +50% | $0 |
| D | 2022-09-02 | 2022-08-31 | UPST | Mirgorodskaya Natalia | Corp. Ctrl | A - Grant | $0.00 | +13.1K | 13.1K | New | $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 | 2022-09-01 | S | D | 4,000 | $25.23 | 42,516 | D | — | — | |
| 2 | Common | Common Stock | 2022-08-31 | A | A | 17,914 | $0.00 | 42,516 | D | — | — | (F1) These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 1/12th of the RSUs shall vest on November 20, 2022 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. (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. |
| 3 | Common | Common Stock | 2022-09-01 | M | A | 4,000 | $0.43 | 46,516 | D | — | — | |
| 4 | Derivative | Employee Stock Option (Right to buy) | 2022-09-01 | M | A | 4,000 | $0.00 | 12,000 | D | $0.43 · — to 2024-09-18 | 4,000 Common Stock | (F5) All of the shares subject to this option are fully vested and exercisable as of the date hereof. |
| 5 | Derivative | Employee Stock Option (Right to buy) | 2022-08-31 | A | A | 13,137 | $0.00 | 13,137 | D | $25.90 · — to 2032-08-31 | 13,137 Common Stock | (F4) 1/36th of the shares subject to the option shall vest on September 20, 2022 and at the end of each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. |