0001628280-23-031740.txt : 20230907
0001628280-23-031740.hdr.sgml : 20230907
20230907171139
ACCESSION NUMBER: 0001628280-23-031740
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230906
FILED AS OF DATE: 20230907
DATE AS OF CHANGE: 20230907
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: 231243040
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
wk-form4_1694121080.xml
FORM 4
X0508
4
2023-09-06
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
1
Common Stock
2023-09-06
4
M
0
5000
0.43
A
872576
D
Common Stock
2023-09-06
4
S
0
5000
35.02
D
867576
D
Employee Stock Option (Right to buy)
0.43
2023-09-06
4
M
0
5000
0
D
2024-06-19
Common Stock
5000
105000
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 May 26,2023.
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 $35.00 to $35.075. 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.
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
2023-09-07