0001628280-24-008644.txt : 20240304 0001628280-24-008644.hdr.sgml : 20240304 20240304181040 ACCESSION NUMBER: 0001628280-24-008644 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240229 FILED AS OF DATE: 20240304 DATE AS OF CHANGE: 20240304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mirgorodskaya Natalia CENTRAL INDEX KEY: 0001833851 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39797 FILM NUMBER: 24716992 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_1709593801.xml FORM 4 X0508 4 2024-02-29 0 0001647639 Upstart Holdings, Inc. UPST 0001833851 Mirgorodskaya Natalia C/O UPSTART HOLDINGS, INC. 2950 S. DELAWARE STREET, SUITE 410 SAN MATEO CA 94403 0 1 0 0 Corporate Controller 1 Common Stock 2024-02-29 4 A 0 919 0 A 29165 D Common Stock 2024-03-01 4 M 0 2500 0.43 A 31665 D Common Stock 2024-03-01 4 S 0 2500 25.4758 D 29165 D Employee Stock Option (Right to buy) 25.75 2024-02-29 4 A 0 582 0 A 2034-02-28 Common Stock 582 582 D Employee Stock Option (Right to buy) 0.43 2024-03-01 4 M 0 2500 0 D 2024-09-18 Common Stock 2500 4500 D These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 1/4th of the RSUs shall vest on November 20, 2024 and at the end of each successive three month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. 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. 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 31, 2023. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.225 to $25.81. 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. 1/12th of the shares subject to the option shall vest on September 20, 2024 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. All of the shares subject to this option are fully vested and exercisable as of the date hereof. /s/ Cynthia Moon, by power of attorney 2024-03-04