0001628280-23-041307.txt : 20231212
0001628280-23-041307.hdr.sgml : 20231212
20231212160944
ACCESSION NUMBER: 0001628280-23-041307
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231208
FILED AS OF DATE: 20231212
DATE AS OF CHANGE: 20231212
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Darling Scott
CENTRAL INDEX KEY: 0001558259
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39797
FILM NUMBER: 231481336
MAIL ADDRESS:
STREET 1: C/O STITCH FIX, INC.
STREET 2: 1 MONTGOMERY STREET, SUITE 1500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Upstart Holdings, Inc.
CENTRAL INDEX KEY: 0001647639
STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199]
IRS NUMBER: 464332431
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2950 S. DELAWARE STREET, SUITE 300
CITY: SAN MATEO
STATE: CA
ZIP: 94403
BUSINESS PHONE: (650) 204-1000
MAIL ADDRESS:
STREET 1: 2950 S. DELAWARE STREET, SUITE 300
CITY: SAN MATEO
STATE: CA
ZIP: 94403
4
1
wk-form4_1702415368.xml
FORM 4
X0508
4
2023-12-08
0
0001647639
Upstart Holdings, Inc.
UPST
0001558259
Darling Scott
C/O UPSTART HOLDINGS, INC.
2950 S. DELAWARE STREET, SUITE 410
SAN MATEO
CA
94403
0
1
0
0
Chief Legal Officer
1
Common Stock
2023-12-08
4
M
0
594
13.22
A
176121
D
Common Stock
2023-12-08
4
S
0
240
35.4167
D
175881
D
Common Stock
2023-12-08
4
S
0
294
36.531
D
175587
D
Common Stock
2023-12-08
4
S
0
60
37.2533
D
175527
D
Employee Stock Option (Right to buy)
13.22
2023-12-08
4
M
0
594
0
D
2032-12-31
Common Stock
594
430860
D
The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 30, 2023.
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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.03 to $35.795. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (3) through (5) to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.165 to $37.05.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.22 to $37.27.
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.
/s/ Christopher Ing, by power of attorney
2023-12-12