Form 4 for UPST Upstart Holdings, Inc.
Accepted 2023-03-21 00:00:00 ET · period of report 2023-03-17 · accession 0001628280-23-008779 · 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 | 2023-03-21 | 2023-03-17 | UPST | Datta Sanjay | CFO | A - Grant | $0.00 | +167.6K | 448.3K | +60% | $0 |
| D | 2023-03-21 | 2023-03-20 | UPST | Datta Sanjay | CFO | S - Sale+OE | $15.16 | -3,200 | 448.3K | -0.7% | -$48.5K |
| D | 2023-03-21 | 2023-03-20 | UPST | Datta Sanjay | CFO | M - OptEx | $1.35 | +3,200 | 451.5K | +0.7% | +$4,320 |
| D | 2023-03-21 | 2023-03-17 | UPST | Datta Sanjay | CFO | A - Grant | $0.00 | +318.4K | 318.4K | New | $0 |
| D | 2023-03-21 | 2023-03-20 | UPST | Datta Sanjay | CFO | M - OptEx | $15.16 | -3,200 | 41.1K | -7% | -$48.5K |
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 | 2023-03-17 | A | A | 167,598 | $0.00 | 448,268 | D | — | — | (F1) These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 1/16th of the RSUs shall vest on May 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) 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. |
| 2 | Common | Common Stock | 2023-03-20 | S | D | 3,200 | $15.16 | 448,268 | D | — | — | |
| 3 | Common | Common Stock | 2023-03-20 | M | A | 3,200 | $1.35 | 451,468 | D | — | — | |
| 4 | Derivative | Employee Stock Option (Right to buy) | 2023-03-17 | A | A | 318,436 | $0.00 | 318,436 | D | $15.23 · — to 2033-03-17 | 318,436 Common Stock | (F4) 1/48th of the shares subject to the option shall vest on March 20, 2023 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. |
| 5 | Derivative | Employee Stock Option (Right to buy) | 2023-03-20 | M | D | 3,200 | $15.16 | 41,139 | D | $1.35 · — to 2026-12-28 | 3,200 Common Stock | (F5) All of the shares subject to this option are fully vested and exercisable as of the date hereof. |