Form 4 for UPST Upstart Holdings, Inc.
Accepted 2024-02-20 00:00:00 ET · period of report 2024-02-15 · accession 0001628280-24-005576 · 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 | 2024-02-20 | 2024-02-15 | UPST | Darling Scott | CLO | M - OptEx | $13.22 | +10.0K | 180.1K | +6% | +$132.2K |
| D | 2024-02-20 | 2024-02-15 | UPST | Darling Scott | CLO | M - OptEx | $0.00 | -10.0K | 414.6K | -2% | $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 | 2024-02-15 | M | A | 10,000 | $13.22 | 180,063 | D | — | — | (F2) Includes 536 shares acquired on February 15, 2024 under the Issuer's 2020 Employee Stock Purchase Plan. (F1) 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 | Derivative | Employee Stock Option (Right to buy) | 2024-02-15 | M | D | 10,000 | $0.00 | 414,610 | D | $13.22 · — to 2032-12-31 | 10,000 Common Stock | (F3) 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. |