0001209191-21-053047.txt : 20210823
0001209191-21-053047.hdr.sgml : 20210823
20210823194917
ACCESSION NUMBER: 0001209191-21-053047
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210819
FILED AS OF DATE: 20210823
DATE AS OF CHANGE: 20210823
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Counselman Anna M.
CENTRAL INDEX KEY: 0001832809
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39797
FILM NUMBER: 211198246
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
2021-08-19
0
0001647639
Upstart Holdings, Inc.
UPST
0001832809
Counselman Anna M.
C/O UPSTART HOLDINGS, INC.
2950 S. DELAWARE STREET, SUITE 300
SAN MATEO
CA
94403
0
1
0
0
SVP, People and Operations
Common Stock
2021-08-19
4
M
0
308355
0.15
A
320585
D
Common Stock
2021-08-19
4
M
0
300000
0.23
A
620585
D
Common Stock
2021-08-19
4
S
0
27732
193.2263
D
592853
D
Common Stock
2021-08-19
4
S
0
30995
193.9694
D
561858
D
Common Stock
2021-08-19
4
S
0
31344
195.0958
D
530514
D
Common Stock
2021-08-19
4
S
0
16810
195.9447
D
513704
D
Common Stock
2021-08-19
4
S
0
25246
197.1969
D
488458
D
Common Stock
2021-08-19
4
S
0
6257
197.9193
D
482201
D
Common Stock
2021-08-19
4
S
0
12443
199.4463
D
469758
D
Common Stock
2021-08-19
4
S
0
117355
200.2794
D
352403
D
Common Stock
2021-08-19
4
S
0
66942
201.0976
D
285461
D
Common Stock
2021-08-19
4
S
0
46352
202.1317
D
239109
D
Common Stock
2021-08-19
4
S
0
30971
203.0659
D
208138
D
Common Stock
2021-08-19
4
S
0
8627
204.0218
D
199511
D
Common Stock
2021-08-19
4
S
0
27522
205.4136
D
171989
D
Common Stock
2021-08-19
4
S
0
45852
206.1475
D
126137
D
Common Stock
2021-08-19
4
S
0
24975
207.2305
D
101162
D
Common Stock
2021-08-19
4
S
0
39647
208.2391
D
61515
D
Common Stock
2021-08-19
4
S
0
34385
208.9771
D
27130
D
Common Stock
2021-08-19
4
S
0
8800
210.4883
D
18330
D
Common Stock
2021-08-19
4
S
0
5900
211.0347
D
12430
D
Common Stock
2021-08-19
4
S
0
200
213.17
D
12230
D
Employee Stock Option (Right to buy)
0.15
2021-08-19
4
M
0
308355
0.00
D
2022-05-11
Common Stock
308355
0
D
Employee Stock Option (Right to buy)
0.23
2021-08-19
4
M
0
300000
0.00
D
2023-05-23
Common Stock
300000
0
D
The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 27, 2021.
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 $192.60 to $193.595. 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 (22) 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 $193.60 to $194.59.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $194.60 to $195.59.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $195.60 to $196.53.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $196.63 to $197.61.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $197.63 to $198.60.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $198.67 to $199.66.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $199.67 to $200.66.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.67 to $201.66.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.67 to $202.66.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $202.67 to $203.65.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $203.67 to $204.60.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $204.73 to $205.72.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $205.74 to $206.73.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $206.74 to $207.71.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $207.75 to $208.74.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $208.75 to $209.68.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $209.855 to $210.84.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $210.88 to $211.85.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $212.75 to $213.59.
All of the shares subject to this option are fully vested and exercisable as of the date hereof.
/s/ Christopher Ing, by power of attorney
2021-08-23