0001628280-23-002591.txt : 20230207 0001628280-23-002591.hdr.sgml : 20230207 20230207164316 ACCESSION NUMBER: 0001628280-23-002591 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230206 FILED AS OF DATE: 20230207 DATE AS OF CHANGE: 20230207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Datta Sanjay CENTRAL INDEX KEY: 0001832808 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39797 FILM NUMBER: 23595668 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_167580618128747.xml FORM 4 X0306 4 2023-02-06 0 0001647639 Upstart Holdings, Inc. UPST 0001832808 Datta Sanjay C/O UPSTART HOLDINGS, INC. 2950 S. DELAWARE STREET, SUITE 300 SAN MATEO CA 94403 0 1 0 0 Chief Financial Officer Common Stock 2023-02-06 4 M 0 2300 1.35 A 292885 D Common Stock 2023-02-06 4 S 0 2300 21.36 D 290585 D Employee Stock Option (Right to buy) 1.35 2023-02-06 4 M 0 2300 0 D 2026-12-28 Common Stock 2300.0 60339 D The option exercise and sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 30, 2022. 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 2023-02-08