Form 4 for UPST Upstart Holdings, Inc.
Accepted 2023-12-12 00:00:00 ET · period of report 2023-12-08 · accession 0001628280-23-041307 · 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 | 2023-12-12 | 2023-12-08 | UPST | Darling Scott | CLO | M - OptEx | $13.22 | +594 | 176.1K | +0.3% | +$7,853 |
| DM | 2023-12-12 | 2023-12-08 | UPST | Darling Scott | CLO | S - Sale+OE | $36.15 | -594 | 175.5K | -0.3% | -$21.5K |
| D | 2023-12-12 | 2023-12-08 | UPST | Darling Scott | CLO | M - OptEx | $0.00 | -594 | 430.9K | -0.1% | $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 | 2023-12-08 | M | A | 594 | $13.22 | 176,121 | 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 | 2023-12-08 | S | D | 240 | $35.42 | 175,881 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.03 to $35.795. 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 within the ranges set forth in footnotes (3) through (5) to this Form 4. |
| 3 | Common | Common Stock | 2023-12-08 | S | D | 294 | $36.53 | 175,587 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.165 to $37.05. |
| 4 | Common | Common Stock | 2023-12-08 | S | D | 60 | $37.25 | 175,527 | D | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.22 to $37.27. |
| 5 | Derivative | Employee Stock Option (Right to buy) | 2023-12-08 | M | D | 594 | $0.00 | 430,860 | D | $13.22 · — to 2032-12-31 | 594 Common Stock | (F6) 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. |