0001628280-21-023759.txt : 20211117
0001628280-21-023759.hdr.sgml : 20211117
20211117200055
ACCESSION NUMBER: 0001628280-21-023759
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211115
FILED AS OF DATE: 20211117
DATE AS OF CHANGE: 20211117
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hentges Mary
CENTRAL INDEX KEY: 0001829575
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39797
FILM NUMBER: 211422228
MAIL ADDRESS:
STREET 1: C/O SHOTSPOTTER, INC.
STREET 2: 7979 GATEWAY BLVD., STE. 210
CITY: NEWARK
STATE: CA
ZIP: 94560
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
wf-form4_163719720329750.xml
FORM 4
X0306
4
2021-11-15
0
0001647639
Upstart Holdings, Inc.
UPST
0001829575
Hentges Mary
C/O UPSTART HOLDINGS, INC.
2950 S. DELAWARE STREET, SUITE 300
SAN MATEO
CA
94403
1
0
0
0
Common Stock
2021-11-15
4
M
0
30000
3.89
A
31491
D
Common Stock
2021-11-15
4
S
0
639
237.9413
D
30852
D
Common Stock
2021-11-15
4
S
0
1569
238.9305
D
29283
D
Common Stock
2021-11-15
4
S
0
8012
240.052
D
21271
D
Common Stock
2021-11-15
4
S
0
1893
241.0599
D
19378
D
Common Stock
2021-11-15
4
S
0
896
242.1094
D
18482
D
Common Stock
2021-11-15
4
S
0
1025
243.6897
D
17457
D
Common Stock
2021-11-15
4
S
0
2052
246.2703
D
15405
D
Common Stock
2021-11-15
4
S
0
2017
247.4252
D
13388
D
Common Stock
2021-11-15
4
S
0
1609
248.3305
D
11779
D
Common Stock
2021-11-15
4
S
0
903
249.4521
D
10876
D
Common Stock
2021-11-15
4
S
0
2486
250.2752
D
8390
D
Common Stock
2021-11-15
4
S
0
1944
251.2093
D
6446
D
Common Stock
2021-11-15
4
S
0
900
252.4469
D
5546
D
Common Stock
2021-11-15
4
S
0
1798
253.608
D
3748
D
Common Stock
2021-11-15
4
S
0
755
254.5144
D
2993
D
Common Stock
2021-11-15
4
S
0
330
256.0377
D
2663
D
Common Stock
2021-11-15
4
S
0
201
257.6126
D
2462
D
Common Stock
2021-11-15
4
S
0
514
258.463
D
1948
D
Common Stock
2021-11-15
4
S
0
297
260
D
1651
D
Common Stock
2021-11-15
4
S
0
160
261.58
D
1491
D
Stock Option (Right to buy)
3.89
2021-11-15
4
M
0
30000
0
D
2029-12-06
Common Stock
30000.0
98295
D
The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 30, 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 $237.47 to $238.42. 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 (20) 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 $238.47 to $239.435.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $239.47 to $240.445.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $240.695 to $241.63.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $241.805 to $242.49.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $243.34 to $244.26.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $245.765 to $246.75.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $246.83 to $247.80.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $247.85 to $248.80.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $248.85 to $249.84.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $249.90 to $250.85.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $250.90 to $251.75.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $252.08 to $253.04.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $253.09 to $253.99.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $254.11 to $255.05.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $255.505 to $256.375.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $257.245 to $258.13.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $258.45 to $259.38.
This option, originally for 128,295 shares, of which 30,000 shares have been exercised, vested as to one twenty-fourth of the shares on February 1, 2020 and one twenty-fourth 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
2021-11-17