0001209191-21-054914.txt : 20210903 0001209191-21-054914.hdr.sgml : 20210903 20210903203320 ACCESSION NUMBER: 0001209191-21-054914 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210901 FILED AS OF DATE: 20210903 DATE AS OF CHANGE: 20210903 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Girouard Dave CENTRAL INDEX KEY: 0001832805 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39797 FILM NUMBER: 211238040 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 2021-09-01 0 0001647639 Upstart Holdings, Inc. UPST 0001832805 Girouard Dave C/O UPSTART HOLDINGS, INC. 2950 S. DELAWARE STREET, SUITE 300 SAN MATEO CA 94403 1 1 1 0 Chief Executive Officer Common Stock 2021-09-01 4 S 0 15667 223.8056 D 162641 D Common Stock 2021-09-01 4 S 0 37136 224.5684 D 125505 D Common Stock 2021-09-01 4 S 0 34553 225.6229 D 90952 D Common Stock 2021-09-01 4 S 0 29344 226.6299 D 61608 D Common Stock 2021-09-01 4 S 0 8000 227.3499 D 53608 D Common Stock 2021-09-01 4 S 0 300 228.1367 D 53308 D Common Stock 2021-09-01 4 S 0 593 223.5121 D 999407 I See Footnote Common Stock 2021-09-01 4 S 0 1249 224.4063 D 998158 I See Footnote Common Stock 2021-09-01 4 S 0 2525 225.6225 D 995633 I See Footnote Common Stock 2021-09-01 4 S 0 1682 226.7631 D 993951 I See Footnote Common Stock 2021-09-01 4 S 0 200 227.445 D 993751 I See Footnote Common Stock 2021-09-01 4 S 0 473 223.3722 D 999527 I See Footnote Common Stock 2021-09-01 4 S 0 1643 224.5018 D 997884 I See Footnote Common Stock 2021-09-01 4 S 0 2195 225.6519 D 995689 I See Footnote Common Stock 2021-09-01 4 S 0 1538 226.6454 D 994151 I See Footnote Common Stock 2021-09-01 4 S 0 400 227.3425 D 993751 I See Footnote Common Stock 200000 I See Footnote Common Stock 9467840 I See Footnote The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 28, 2021. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.11 to $224.10. 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 footnote (2), footnotes (6) through (10), footnote (12), footnotes (14) through (17), footnote (19), and footnotes (21) through (24) to this Form 4. Immediately prior to the sale by the Reporting Person of an aggregate of 125,000 shares of Common Stock, the 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee (the "Girouard Revocable Trust"), transferred 125,000 shares of Common Stock to the Reporting Person. Includes a total of 65 shares received pursuant to pro rata distributions in June 2021 and August 2021 from Kleiner Perkins Caufield & Byers XV, LLC, of which the Reporting Person is a member. The acquisition of such shares was exempt pursuant to Rule 16a-9. 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 $224.11 to $225.10. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.11 to $226.10. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.11 to $227.10. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.11 to $228.00. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $228.13 to $228.14. The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on May 28, 2021 by the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.00 to $223.83. These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.09 to $225.00. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.09 to $226.05. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.25 to $227.05. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.39 to $227.50. The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on May 28, 2021 by the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.00 to $223.975. These shares are held by Tristen Baird Willard, as trustee of the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.09 to $225.00. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.09 to $226.01. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.16 to $227.00. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.24 to $227.50. These shares are held by David J. Girouard, as trustee of the Girouard 2020 GRAT, dated October 19, 2020. These shares are held by the Girouard Revocable Trust. Immediately prior to the sale by the Reporting Person of an aggregate of 125,000 shares of Common Stock, the Girouard Revocable Trust transferred 125,000 shares of Common Stock to the Reporting Person. /s/ Christopher Ing, by power of attorney 2021-09-03