Form 4 for UPST Upstart Holdings, Inc.
Accepted 2023-01-04 00:00:00 ET · period of report 2022-12-31 · accession 0001628280-23-000222 · 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 | 2023-01-04 | 2022-12-31 | UPST | Darling Scott | CLO | A - Grant | $0.00 | +198.1K | 198.1K | New | $0 |
| D | 2023-01-04 | 2022-12-31 | UPST | Darling Scott | CLO | A - Grant | $0.00 | +435.9K | 435.9K | 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 | 2022-12-31 | A | A | 198,118 | $0.00 | 198,118 | 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 February 20, 2023 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) 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) | 2022-12-31 | A | A | 435,860 | $0.00 | 435,860 | D | $13.22 · — to 2032-12-31 | 435,860 Common Stock | (F3) 1/48th of the shares subject to the option shall vest on January 20, 2023 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. |