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