0001628280-23-042919.txt : 20231229 0001628280-23-042919.hdr.sgml : 20231229 20231229160407 ACCESSION NUMBER: 0001628280-23-042919 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231227 FILED AS OF DATE: 20231229 DATE AS OF CHANGE: 20231229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Darling Scott CENTRAL INDEX KEY: 0001558259 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39797 FILM NUMBER: 231527645 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] ORGANIZATION NAME: 02 Finance 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_1703883838.xml FORM 4 X0508 4 2023-12-27 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 2023-12-27 4 M 0 672 13.22 A 173199 D Common Stock 2023-12-27 4 S 0 340 45.6409 D 172859 D Common Stock 2023-12-27 4 S 0 332 46.8234 D 172527 D Employee Stock Option (Right to buy) 13.22 2023-12-27 4 M 0 672 0 D 2032-12-31 Common Stock 672 425860 D The option exercise and sale 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 $45.13 to $46.08. 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) and (4) 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 $46.415 to $47.30. 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/ Cynthia Moon, by power of attorney 2023-12-29