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