0001628280-24-006358.txt : 20240222 0001628280-24-006358.hdr.sgml : 20240222 20240222161934 ACCESSION NUMBER: 0001628280-24-006358 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240220 FILED AS OF DATE: 20240222 DATE AS OF CHANGE: 20240222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Girouard Dave CENTRAL INDEX KEY: 0001832805 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39797 FILM NUMBER: 24665109 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] ORGANIZATION NAME: 02 Finance 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_1708636754.xml FORM 4 X0508 4 2024-02-20 0 0001647639 Upstart Holdings, Inc. UPST 0001832805 Girouard Dave C/O UPSTART HOLDINGS, INC. 2950 S. DELAWARE STREET, SUITE 410 SAN MATEO CA 94403 1 1 1 0 Chief Executive Officer 0 Common Stock 2024-02-20 4 S 0 4158 25.2949 D 67870 D Common Stock 8342701 I See Footnote Common Stock 1000000 I See Footnote Common Stock 546501 I See Footnote Common Stock 546501 I See Footnote Common Stock 126057 I See Footnote Common Stock 126057 I See Footnote These shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units (RSUs). The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.135 to $25.54. 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. Certain of these securities are 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. These shares are held by 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee. These shares are held by David J Girouard, as trustee of the DTG GRAT LLC, dated May 23,2023. These shares are held by Tristen Baird Willard, as trustee of the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020. 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 Tristen Baird Willard, as trustee of the TMG 2020 NONEXEMPT GIFT TRUST, dated October 19, 2020. These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 NONEXEMPT GIFT TRUST, dated October 19, 2020. /s/ Christopher Ing, by power of attorney 2024-02-22