0001209191-21-018947.txt : 20210309 0001209191-21-018947.hdr.sgml : 20210309 20210309161242 ACCESSION NUMBER: 0001209191-21-018947 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210305 FILED AS OF DATE: 20210309 DATE AS OF CHANGE: 20210309 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gu Paul CENTRAL INDEX KEY: 0001832812 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39797 FILM NUMBER: 21725905 MAIL ADDRESS: STREET 1: C/O UPSTART HOLDINGS, INC. STREET 2: 2950 S. DELAWARE STREET, SUITE 300 CITY: SAN MATEO STATE: CA ZIP: 94403 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 doc4.xml FORM 4 SUBMISSION X0306 4 2021-03-05 0 0001647639 Upstart Holdings, Inc. UPST 0001832812 Gu Paul C/O UPSTART HOLDINGS, INC. 2950 S. DELAWARE STREET, SUITE 300 SAN MATEO CA 94403 1 1 0 0 SVP, Product and Data Science Common Stock 2021-03-05 4 M 0 10000 2.15 A 210000 D Employee Stock Option (Right to buy) 2.15 2021-03-05 4 M 0 10000 0.00 D 2027-12-18 Common Stock 10000 190000 D This option, originally for 200,000 shares, of which 10,000 shares have been exercised, vested as to one forty-eighth of the shares on February 1, 2018 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. /s/ Christopher Ing, by power of attorney 2021-03-09