Form 4 for UPST Upstart Holdings, Inc.

Accepted 2021-11-12 00:00:00 ET · period of report 2021-11-09 · accession 0001832812-21-000006 · 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	2021-11-12	2021-11-09+	UPST	Gu Paul	SVP, Product, Data Science, Dir	M - OptEx	$1.35	+50.0K	367.4K	+16%	+$67.5K
DM	2021-11-12	2021-11-09+	UPST	Gu Paul	SVP, Product, Data Science, Dir	M - OptEx	$0.00	-50.0K	40.0K	-56%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2021-11-09	M	A	25,000	$1.35	342,412	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	Common	Common Stock	2021-11-10	M	A	25,000	$1.35	367,412	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.
3	Derivative	Employee Stock Option (Right to buy)	2021-11-09	M	D	25,000	$0.00	65,000	D	$1.35 · — to 2027-01-09	25,000 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)	2021-11-10	M	D	25,000	$0.00	40,000	D	$1.35 · — to 2027-01-09	25,000 Common Stock	(F2) All of the shares subject to this option are fully vested and exercisable as of the date hereof.