0001628280-22-005970.txt : 20220311
0001628280-22-005970.hdr.sgml : 20220311
20220311183025
ACCESSION NUMBER: 0001628280-22-005970
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220309
FILED AS OF DATE: 20220311
DATE AS OF CHANGE: 20220311
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: 22734605
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_164704141073852.xml
FORM 4
X0306
4
2022-03-09
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
2022-03-09
4
M
0
7500
0.43
A
193867
D
Common Stock
2022-03-09
4
S
0
680
114.7071
D
193187
D
Common Stock
2022-03-09
4
S
0
990
115.6369
D
192197
D
Common Stock
2022-03-09
4
S
0
1521
116.6541
D
190676
D
Common Stock
2022-03-09
4
S
0
900
117.6274
D
189776
D
Common Stock
2022-03-09
4
S
0
1210
118.6574
D
188566
D
Common Stock
2022-03-09
4
S
0
791
119.7794
D
187775
D
Common Stock
2022-03-09
4
S
0
1100
120.6005
D
186675
D
Common Stock
2022-03-09
4
S
0
308
122.1294
D
186367
D
Employee Stock Option (Right to buy)
0.43
2022-03-09
4
M
0
7500
0
D
2024-06-19
Common Stock
7500.0
5000
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 $114.05 to $115.03. 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 (10) 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 $115.07 to $116.025.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.11 to $117.09.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $117.11 to $118.09.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.18 to $119.17.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $119.18 to $120.07.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $120.45 to $121.00.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.76 to $122.64.
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
2022-03-11