Form 4 for UPST Upstart Holdings, Inc.
Accepted 2025-03-10 00:00:00 ET · period of report 2025-03-06 · accession 0001647639-25-000027 · 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 | 2025-03-10 | 2025-03-06+ | UPST | Gu Paul | Chief Technology Offier, Dir | M - OptEx | $18.04 | +36.2K | 1.05M | +4% | +$653.6K |
| DM | 2025-03-10 | 2025-03-06+ | UPST | Gu Paul | Chief Technology Offier, Dir | M - OptEx | $0.00 | -36.2K | 298.6K | -11% | $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 | 2025-03-10 | M | A | 4,844 | $25.75 | 1,072,156 | D | — | — | |
| 2 | Common | Common Stock | 2025-03-10 | M | A | 13,269 | $15.23 | 1,067,312 | D | — | — | |
| 3 | Common | Common Stock | 2025-03-06 | M | A | 4,844 | $25.75 | 1,054,043 | D | — | — | |
| 4 | Common | Common Stock | 2025-03-06 | M | A | 13,269 | $15.23 | 1,049,199 | 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. |
| 5 | Derivative | Employee Stock Option (Right to buy) | 2025-03-10 | M | D | 13,269 | $0.00 | 285,332 | D | $15.23 · — to 2033-03-17 | 13,269 Common Stock | (F2) 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. |
| 6 | Derivative | Employee Stock Option (Right to buy) | 2025-03-10 | M | D | 4,844 | $0.00 | 106,593 | D | $25.75 · — to 2034-02-28 | 4,844 Common Stock | (F3) 1/48th of the shares subject to the option shall vest on March 20, 2024 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. |
| 7 | Derivative | Employee Stock Option (Right to buy) | 2025-03-06 | M | D | 4,844 | $0.00 | 111,437 | D | $25.75 · — to 2034-02-28 | 4,844 Common Stock | (F3) 1/48th of the shares subject to the option shall vest on March 20, 2024 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. |
| 8 | Derivative | Employee Stock Option (Right to buy) | 2025-03-06 | M | D | 13,269 | $0.00 | 298,601 | D | $15.23 · — to 2033-03-17 | 13,269 Common Stock | (F2) 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. |