0001959173-23-005439.txt : 20231213 0001959173-23-005439.hdr.sgml : 20231213 20231213171129 ACCESSION NUMBER: 0001959173-23-005439 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20231213 DATE AS OF CHANGE: 20231213 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-39797 FILM NUMBER: 231484872 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 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: Gu Paul CENTRAL INDEX KEY: 0001832812 FILING VALUES: FORM TYPE: 144 MAIL ADDRESS: STREET 1: C/O UPSTART HOLDINGS, INC. STREET 2: 2950 S. DELAWARE STREET, SUITE 300 CITY: SAN MATEO STATE: CA ZIP: 94403 144 1 primary_doc.xml 144 0001832812 XXXXXXXX LIVE 0001647639 Upstart Holdings, Inc. 001-39797 2950 S. DELAWARE STREET, SUITE 300 SAN MATEO CA 94403 (650) 204-1000 Gu Paul Officer Director Common Stock Fidelity Brokerage Services LLC

245 Summer Street Boston MA 02110

10000 400265.00 85057317 12/13/2023 NASDAQ Common Stock 12/13/2023 Stock Option Exercise Upstart Holdings, Inc. N 10000 12/13/2023 Wire N Paul Xinquan Gu

c/o Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 300 San Mateo CA 94403

Common Stock 10/02/2023 15000 427551.00 Paul Xinquan Gu

c/o Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 300 San Mateo CA 94403

Common Stock 10/10/2023 5000 150266.00 Paul Xinquan Gu

c/o Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 300 San Mateo CA 94403

Common Stock 11/15/2023 15000 375159.00 Paul Xinquan Gu

c/o Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 300 San Mateo CA 94403

Common Stock 11/21/2023 19513 468082.27 Paul Xinquan Gu

c/o Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 300 San Mateo CA 94403

Common Stock 12/01/2023 40000 1087596.00 Paul Xinquan Gu

c/o Upstart Holdings, Inc. 2950 S. Delaware Street, Suite 300 San Mateo CA 94403

Common Stock 12/06/2023 10000 350411.00 12/13/2023 05/26/2023 /s/ Myra King, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Paul Xinquan Gu