Form 4 for UPST Upstart Holdings, Inc.
Accepted 2023-02-23 00:00:00 ET · period of report 2023-02-21 · accession 0001628280-23-004881 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-02-23 | 2023-02-21 | UPST | Girouard Dave | CEO, Dir, 10% | S - Sale | $18.14 | -4,048 | 83.1K | -5% | -$73.4K |
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 | 2023-02-21 | S | D | 4,048 | $18.14 | 83,066 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.00 to $18.31. 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. (F3) The number of shares held (i) includes 40 shares of Common Stock received pursuant to a pro rata distribution in April 2022 from Kleiner Perkins Caufield & Byers XV, LLC, of which theReporting Person is a member, and which acquisition was exempt pursuant to Rule 16a-9, and (ii)reflects the transfer, in April 2022, of 40 shares of Common Stock from the Reporting Person to the 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee (the"Girouard Revocable Trust"). (F4) 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. |