Form 4 for UPST Upstart Holdings, Inc.
Accepted 2021-10-29 00:00:00 ET · period of report 2021-10-27 · accession 0001832812-21-000004 · 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 | 2021-10-29 | 2021-10-27 | UPST | Gu Paul | SVP, Product, Data Science, Dir | M - OptEx | $1.35 | +20.0K | 317.4K | +7% | +$27.0K |
| D | 2021-10-29 | 2021-10-27 | UPST | Gu Paul | SVP, Product, Data Science, Dir | M - OptEx | $0.00 | -20.0K | 90.0K | -18% | $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 | 2021-10-27 | M | A | 20,000 | $1.35 | 317,412 | D | — | — | (F1) 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 | Derivative | Employee Stock Option (Right to buy) | 2021-10-27 | M | D | 20,000 | $0.00 | 90,000 | D | $1.35 · — to 2027-01-09 | 20,000 Common Stock | (F2) This option, originally for 250,000 shares, of which 160,000 shares have been exercised, vested as to one forty-eighth of the shares on February 1, 2017 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. |