0001628280-22-032420.txt : 20221221 0001628280-22-032420.hdr.sgml : 20221221 20221221161217 ACCESSION NUMBER: 0001628280-22-032420 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221219 FILED AS OF DATE: 20221221 DATE AS OF CHANGE: 20221221 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: 221478586 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_167165712099389.xml FORM 4 X0306 4 2022-12-19 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 Chief Technology Offier Common Stock 2022-12-19 4 M 0 50876 0.43 A 739859 D Employee Stock Option (Right to buy) 0.43 2022-12-19 4 M 0 50876 0 D 2024-06-19 Common Stock 50876.0 130000 D 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. 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 2022-12-21