0001628280-22-003589.txt : 20220223 0001628280-22-003589.hdr.sgml : 20220223 20220223204222 ACCESSION NUMBER: 0001628280-22-003589 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220220 FILED AS OF DATE: 20220223 DATE AS OF CHANGE: 20220223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Counselman Anna M. CENTRAL INDEX KEY: 0001832809 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39797 FILM NUMBER: 22666033 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_164566692246423.xml FORM 4 X0306 4 2022-02-20 0 0001647639 Upstart Holdings, Inc. UPST 0001832809 Counselman Anna M. C/O UPSTART HOLDINGS, INC. 2950 S. DELAWARE STREET, SUITE 300 SAN MATEO CA 94403 0 1 0 0 SVP, People and Operations Common Stock 2022-02-20 4 A 0 6913 0 A 19143 D Employee Stock Option (Right to buy) 130.05 2022-02-20 4 A 0 15208 0 A 2032-02-20 Common Stock 15208.0 15208 D These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 1/4th of the RSUs shall vest on May 20, 2024 and at the end of each successive three-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. Certain of these securities are 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. 1/12th of the shares subject to the option shall vest on March 20, 2024 and at the end of each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. /s/ Emily Baumbach, by power of attorney 2022-02-23