Counselman Anna M. 4

Accession 0001209191-21-053047

CIK 0001647639other

View on SEC.gov Company Profile

Filed

Aug 22, 8:00 PM ET

Accepted

Aug 23, 7:49 PM ET

Size

48.4 KB

Accession

0001209191-21-053047

Insider Transaction Report

Form 4

Period: 2021-08-19

Upstart Holdings, Inc.UPST

Counselman Anna M.

SVP, People and Operations

Transactions

Exercise/Conversion
Common Stock
2021-08-19$0.23/sh+300,000$69,000→ 620,585 total
Exercise/Conversion
Employee Stock Option (Right to buy)
2021-08-19−300,000→ 0 total
Exercise: $0.23Exp: 2023-05-23→ Common Stock (300,000 underlying)
Sale
Common Stock
2021-08-19$193.97/sh−30,995$6,012,082→ 561,858 total
Sale
Common Stock
2021-08-19$195.94/sh−16,810$3,293,830→ 513,704 total
Sale
Common Stock
2021-08-19$207.23/sh−24,975$5,175,582→ 101,162 total
Sale
Common Stock
2021-08-19$208.24/sh−39,647$8,256,056→ 61,515 total
Sale
Common Stock
2021-08-19$208.98/sh−34,385$7,185,678→ 27,130 total
Sale
Common Stock
2021-08-19$211.03/sh−5,900$1,245,105→ 12,430 total
Sale
Common Stock
2021-08-19$213.17/sh−200$42,634→ 12,230 total
Exercise/Conversion
Common Stock
2021-08-19$0.15/sh+308,355$46,253→ 320,585 total
Sale
Common Stock
2021-08-19$193.23/sh−27,732$5,358,552→ 592,853 total
Sale
Common Stock
2021-08-19$195.10/sh−31,344$6,115,083→ 530,514 total
Sale
Common Stock
2021-08-19$197.20/sh−25,246$4,978,433→ 488,458 total
Sale
Common Stock
2021-08-19$197.92/sh−6,257$1,238,381→ 482,201 total
Sale
Common Stock
2021-08-19$199.45/sh−12,443$2,481,710→ 469,758 total
Sale
Common Stock
2021-08-19$200.28/sh−117,355$23,503,789→ 352,403 total
Sale
Common Stock
2021-08-19$201.10/sh−66,942$13,461,876→ 285,461 total
Sale
Common Stock
2021-08-19$202.13/sh−46,352$9,369,209→ 239,109 total
Sale
Common Stock
2021-08-19$203.07/sh−30,971$6,289,154→ 208,138 total
Sale
Common Stock
2021-08-19$204.02/sh−8,627$1,760,096→ 199,511 total
Sale
Common Stock
2021-08-19$205.41/sh−27,522$5,653,393→ 171,989 total
Sale
Common Stock
2021-08-19$206.15/sh−45,852$9,452,275→ 126,137 total
Sale
Common Stock
2021-08-19$210.49/sh−8,800$1,852,297→ 18,330 total
Exercise/Conversion
Employee Stock Option (Right to buy)
2021-08-19−308,355→ 0 total
Exercise: $0.15Exp: 2022-05-11→ Common Stock (308,355 underlying)

Footnotes (23)

[F1]The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 27, 2021.
[F10]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $199.67 to $200.66.
[F11]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.67 to $201.66.
[F12]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.67 to $202.66.
[F13]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $202.67 to $203.65.
[F14]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $203.67 to $204.60.
[F15]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $204.73 to $205.72.
[F16]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $205.74 to $206.73.
[F17]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $206.74 to $207.71.
[F18]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $207.75 to $208.74.
[F19]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $208.75 to $209.68.
[F2]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.
[F20]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $209.855 to $210.84.
[F21]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $210.88 to $211.85.
[F22]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $212.75 to $213.59.
[F23]All of the shares subject to this option are fully vested and exercisable as of the date hereof.
[F3]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $192.60 to $193.595. 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 within the ranges set forth in footnotes (3) through (22) to this Form 4.
[F4]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $193.60 to $194.59.
[F5]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $194.60 to $195.59.
[F6]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $195.60 to $196.53.
[F7]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $196.63 to $197.61.
[F8]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $197.63 to $198.60.
[F9]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $198.67 to $199.66.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

Upstart Holdings, Inc.

CIK 0001647639

→

Entity typeother

Related Parties

filerCIK 0001832809

Filing Metadata

Form type: 4
Filed: Aug 22, 8:00 PM ET
Accepted: Aug 23, 7:49 PM ET
Size: 48.4 KB

View on SEC.gov