0001628280-22-003202.txt : 20220218 0001628280-22-003202.hdr.sgml : 20220218 20220218175517 ACCESSION NUMBER: 0001628280-22-003202 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220216 FILED AS OF DATE: 20220218 DATE AS OF CHANGE: 20220218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nicoll Alison CENTRAL INDEX KEY: 0001833661 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39797 FILM NUMBER: 22654213 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 wf-form4_164522490125134.xml FORM 4 X0306 4 2022-02-16 0 0001647639 Upstart Holdings, Inc. UPST 0001833661 Nicoll Alison C/O UPSTART HOLDINGS, INC. 2950 S. DELAWARE STREET, SUITE 300 SAN MATEO CA 94403 0 1 0 0 General Counsel and Secretary Common Stock 2022-02-16 4 M 0 7500 0.43 A 186954 D Common Stock 2022-02-16 4 S 0 100 133.4628 D 186854 D Common Stock 2022-02-16 4 S 0 100 134.9575 D 186754 D Common Stock 2022-02-16 4 S 0 200 136.475 D 186554 D Common Stock 2022-02-16 4 S 0 200 137.42 D 186354 D Common Stock 2022-02-16 4 S 0 300 138.43 D 186054 D Common Stock 2022-02-16 4 S 0 200 139.615 D 185854 D Common Stock 2022-02-16 4 S 0 398 141.3593 D 185456 D Common Stock 2022-02-16 4 S 0 602 142.3993 D 184854 D Common Stock 2022-02-16 4 S 0 1200 143.1392 D 183654 D Common Stock 2022-02-16 4 S 0 700 144.3886 D 182954 D Common Stock 2022-02-16 4 S 0 1000 145.3572 D 181954 D Common Stock 2022-02-16 4 S 0 1000 146.7331 D 180954 D Common Stock 2022-02-16 4 S 0 1000 147.8403 D 179954 D Common Stock 2022-02-16 4 S 0 500 149.0468 D 179454 D Employee Stock Option (Right to buy) 0.43 2022-02-16 4 M 0 7500 0 D 2024-06-19 Common Stock 7500.0 27500 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 May 25, 2021. Includes 174 shares acquired on February 15, 2022 under the Issuer's 2020 Employee Stock Purchase Plan. 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 $133.46 to $133.50. 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 (4) through (16) 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 $135.99 to $136.96. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $137.00 to $137.84. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.13 to $138.99. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $139.37 to $139.86. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $140.6875 to $141.67. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $141.68 to $142.58. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $142.72 to $143.69. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $143.94 to $144.82. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $145.00 to $145.73. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $146.21 to $147.07. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $147.43 to $148.38. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $148.55 to $149.505. 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 2022-02-18