0001628280-22-004009.txt : 20220225 0001628280-22-004009.hdr.sgml : 20220225 20220225165514 ACCESSION NUMBER: 0001628280-22-004009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220223 FILED AS OF DATE: 20220225 DATE AS OF CHANGE: 20220225 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: 22681383 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_164582606198302.xml FORM 4 X0306 4 2022-02-23 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 2022-02-23 4 M 0 7500 0.43 A 193867 D Common Stock 2022-02-23 4 S 0 495 112.4134 D 193372 D Common Stock 2022-02-23 4 S 0 450 113.3786 D 192922 D Common Stock 2022-02-23 4 S 0 625 114.5103 D 192297 D Common Stock 2022-02-23 4 S 0 700 115.5766 D 191597 D Common Stock 2022-02-23 4 S 0 656 116.7933 D 190941 D Common Stock 2022-02-23 4 S 0 900 117.9869 D 190041 D Common Stock 2022-02-23 4 S 0 650 119.0519 D 189391 D Common Stock 2022-02-23 4 S 0 850 120.0925 D 188541 D Common Stock 2022-02-23 4 S 0 800 121.08 D 187741 D Common Stock 2022-02-23 4 S 0 400 122.5025 D 187341 D Common Stock 2022-02-23 4 S 0 374 123.778 D 186967 D Common Stock 2022-02-23 4 S 0 500 124.72 D 186467 D Common Stock 2022-02-23 4 S 0 100 126 D 186367 D Employee Stock Option (Right to buy) 0.43 2022-02-23 4 M 0 7500 0 D 2024-06-19 Common Stock 7500.0 20000 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. 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 $111.975 to $112.91. 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 (14) 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 $113.01 to $113.99. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $114.06 to $114.96. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.12 to $116.10. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.27 to $117.11. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $117.52 to $118.48. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.61 to $119.56. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $119.615 to $120.50. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $120.82 to $121.41. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $122.11 to $122.93. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $123.27 to $124.25. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $124.44 to $125. All of the shares subject to this option are fully vested and exercisable as of the date hereof. /s/ Emily Baumbach, by power of attorney 2022-02-25