0001959173-24-001057.txt : 20240215 0001959173-24-001057.hdr.sgml : 20240215 20240215170452 ACCESSION NUMBER: 0001959173-24-001057 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20240215 DATE AS OF CHANGE: 20240215 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-39797 FILM NUMBER: 24644717 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 ORGANIZATION NAME: 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

30000 795036.00 86430264 02/15/2024 NASDAQ Common Stock 02/15/2024 Stock Option Exercise Upstart Holdings, Inc. N 30000 02/15/2024 Wire N 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 Paul Xinquan Gu

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

Common Stock 12/13/2023 10000 400265.00 Paul Xinquan Gu

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

Common Stock 01/02/2024 60000 2364612.00 02/15/2024 05/26/2023 /s/ Myra King, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Paul Xinquan Gu