Form 4 for UPST Upstart Holdings, Inc.

Accepted 2023-08-24 00:00:00 ET · period of report 2023-08-22 · accession 0001628280-23-030564 · 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
M	2023-08-24	2023-08-22+	UPST	Mirgorodskaya Natalia	Corp. Ctrl	S - Sale	$32.88	-2,153	38.7K	-5%	-$70.8K

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2023-08-24	S	D	1,421	$33.00	37,318	D	—	—	(F6) The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 29, 2022.
2	Common	Common Stock	2023-08-22	S	D	692	$32.61	38,779	D	—	—	(F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.21 to $33.12. 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. (F4) Includes 1 share acquired on August 15, 2023 under the Issuer's 2020 Employee Stock Purchase Plan. (F3) 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.
3	Common	Common Stock	2023-08-22	S	D	40	$33.22	38,739	D	—	—	(F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.21 to $33.22. 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.