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