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