Form 4 for UPST Upstart Holdings, Inc.
Accepted 2025-02-04 00:00:00 ET · period of report 2025-01-31 · accession 0001628280-25-003742 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2025-02-04 | 2025-01-31 | UPST | Gu Paul | Chief Technology Offier, Dir | M - OptEx | $6.92 | +24.1K | 1.01M | +2% | +$166.5K |
| DM | 2025-02-04 | 2025-01-31 | UPST | Gu Paul | Chief Technology Offier, Dir | M - OptEx | $0.00 | -24.1K | 311.9K | -7% | $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 | 2025-01-31 | M | A | 6,566 | $15.23 | 1,017,923 | D | — | — | |
| 2 | Common | Common Stock | 2025-01-31 | M | A | 17,500 | $3.80 | 1,011,357 | D | — | — | (F1) Certain of the securities reported in Column 5 of each row of Table I 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. |
| 3 | Derivative | Employee Stock Option (Right to buy) | 2025-01-31 | M | D | 17,500 | $0.00 | 120,000 | D | $3.80 · — to 2029-03-29 | 17,500 Common Stock | (F2) All of the shares subject to this option are fully vested and exercisable as of the date hereof. |
| 4 | Derivative | Employee Stock Option (Right to buy) | 2025-01-31 | M | D | 6,566 | $0.00 | 311,870 | D | $15.23 · — to 2033-03-17 | 6,566 Common Stock | (F3) 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. |