0001628280-22-012343.txt : 20220504
0001628280-22-012343.hdr.sgml : 20220504
20220504171646
ACCESSION NUMBER: 0001628280-22-012343
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220502
FILED AS OF DATE: 20220504
DATE AS OF CHANGE: 20220504
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Girouard Dave
CENTRAL INDEX KEY: 0001832805
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39797
FILM NUMBER: 22892626
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_165169884946756.xml
FORM 4
X0306
4
2022-05-02
0
0001647639
Upstart Holdings, Inc.
UPST
0001832805
Girouard Dave
C/O UPSTART HOLDINGS, INC.
2950 S. DELAWARE STREET, SUITE 300
SAN MATEO
CA
94403
1
1
1
0
Chief Executive Officer
Common Stock
2022-05-02
4
S
0
41667
80.0004
D
87114
D
Common Stock
2022-05-02
4
S
0
2083
80
D
546501
I
See Footnote
Common Stock
2022-05-02
4
S
0
2083
80.0002
D
546501
I
See Footnote
Common Stock
950589
I
See Footnote
Common Stock
8644186
I
See Footnote
The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 28, 2021.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.00 to $80.035. 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 (2) and (8).
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.
Immediately prior to the sale by the Reporting Person of an aggregate of 41,667 shares of Common Stock, the 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee (the "Girouard Revocable Trust"), transferred 41,667 shares of Common Stock to the Reporting Person.
The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted on May 28, 2021 by the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
These shares are held by Tristen Baird Willard, as trustee of the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted on May 28, 2021 by the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.00 to $80.005.
These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
These shares are held by David J. Girouard, as trustee of the Girouard 2020 GRAT, dated October 19, 2020.
These shares are held by the Girouard Revocable Trust.
/s/ Christopher Ing, by power of attorney
2022-05-04