Form 4 for UPST Upstart Holdings, Inc.
Accepted 2022-11-30 00:00:00 ET · period of report 2022-11-28 · accession 0001628280-22-031097 · 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 | 2022-11-30 | 2022-11-28 | UPST | Datta Sanjay | CFO | M - OptEx | $1.35 | +3,200 | 56.7K | +6% | +$4,320 |
| D | 2022-11-30 | 2022-11-30 | UPST | Datta Sanjay | CFO | A - Grant | $0.00 | +203.8K | 257.3K | +381% | $0 |
| D | 2022-11-30 | 2022-11-28 | UPST | Datta Sanjay | CFO | S - Sale+OE | $18.11 | -3,200 | 53.5K | -6% | -$58.0K |
| D | 2022-11-30 | 2022-11-28 | UPST | Datta Sanjay | CFO | M - OptEx | $0.00 | -3,200 | 91.4K | -3% | $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 | 2022-11-28 | M | A | 3,200 | $1.35 | 56,708 | D | — | — | (F2) 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 | 2022-11-30 | A | A | 203,777 | $0.00 | 257,285 | D | — | — | (F3) These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 12.5% of the RSUs shall vest on February 20, 2023 and on each three-month anniversary thereafter in 2023, 7.5% of the RSUs shall vest on February 20, 2024 and on each three-month anniversary thereafter in 2024, and 5% of the RSUs shall vest on February 20, 2025 and on each three-month anniversary thereafter in 2025, subject to the Reporting Person continuing as a service provider through each such date. |
| 3 | Common | Common Stock | 2022-11-28 | S | D | 3,200 | $18.11 | 53,508 | D | — | — | |
| 4 | Derivative | Employee Stock Option (Right to buy) | 2022-11-28 | M | D | 3,200 | $0.00 | 91,439 | D | $1.35 · — to 2026-12-28 | 3,200 Common Stock | (F4) All of the shares subject to this option are fully vested and exercisable as of the date hereof. |