0001628280-22-003591.txt : 20220223 0001628280-22-003591.hdr.sgml : 20220223 20220223204353 ACCESSION NUMBER: 0001628280-22-003591 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: Gu Paul CENTRAL INDEX KEY: 0001832812 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39797 FILM NUMBER: 22666036 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_164566701221257.xml FORM 4 X0306 4 2022-02-20 0 0001647639 Upstart Holdings, Inc. UPST 0001832812 Gu Paul C/O UPSTART HOLDINGS, INC. 2950 S. DELAWARE STREET, SUITE 300 SAN MATEO CA 94403 1 1 0 0 SVP, Product and Data Science Performance-based Restricted Stock Unit 0.0 2022-02-20 4 A 0 687500 0 A 2029-01-01 Common Stock 687500.0 687500 D These securities are performance-based restricted stock units (PRSUs). Each PRSU represents a contingent right to receive one share of common stock. The shares subject to the PRSUs are comprised of nine separate tranches that become eligible to vest upon achievement of certain Issuer stock price targets as measured on each of January 1, 2027, January 1, 2028 and January 1, 2029, provided that the Reporting Person satisfies the service-based condition through January 1, 2029, further subject to the award agreement filed with the Current Report on Form 8-K filed by the Issuer with the U.S. Securities and Exchange Commission on February 23, 2022. /s/ Emily Baumbach, by power of attorney 2022-02-23