Form 4 for UPST Upstart Holdings, Inc.
Accepted 2023-01-19 00:00:00 ET · period of report 2023-01-17 · accession 0001628280-23-001283 · 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 | 2023-01-19 | 2023-01-17 | UPST | Datta Sanjay | CFO | M - OptEx | $1.35 | +3,200 | 278.8K | +1% | +$4,320 |
| D | 2023-01-19 | 2023-01-17 | UPST | Datta Sanjay | CFO | S - Sale+OE | $17.02 | -3,200 | 275.6K | -1% | -$54.5K |
| D | 2023-01-19 | 2023-01-17 | UPST | Datta Sanjay | CFO | M - OptEx | $0.00 | -3,200 | 69.0K | -4% | $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 | 2023-01-17 | M | A | 3,200 | $1.35 | 278,785 | 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 | 2023-01-17 | S | D | 3,200 | $17.02 | 275,585 | D | — | — | |
| 3 | Derivative | Employee Stock Option (Right to buy) | 2023-01-17 | M | D | 3,200 | $0.00 | 69,039 | D | $1.35 · — to 2026-12-28 | 3,200 Common Stock | (F3) All of the shares subject to this option are fully vested and exercisable as of the date hereof. |