0001628280-24-008655.txt : 20240304 0001628280-24-008655.hdr.sgml : 20240304 20240304181443 ACCESSION NUMBER: 0001628280-24-008655 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: Girouard Dave CENTRAL INDEX KEY: 0001832805 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39797 FILM NUMBER: 24717035 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_1709594068.xml FORM 4 X0508 4 2024-02-29 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 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 Common Stock 67870 D Employee Stock Option (Right to buy) 25.75 2024-02-29 4 A 0 417098 0 A 2034-02-28 Common Stock 417098 417098 D 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 JRG 2020 NONEXEMPT 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. 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. 1/48th of the shares subject to the option shall vest on March 20, 2024 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. /s/ Cynthia Moon, by power of attorney 2024-03-04