Terry Hilliard C. III 4

Accession 0001628280-21-023409

CIK 0001647639other

View on SEC.gov Company Profile

Filed

Nov 14, 7:00 PM ET

Accepted

Nov 15, 5:58 PM ET

Size

37.6 KB

Accession

0001628280-21-023409

Insider Transaction Report

Form 4

Period: 2021-11-11

Upstart Holdings, Inc.UPST

Terry Hilliard C. III

Director

Transactions

Exercise/Conversion
Common Stock
2021-11-11$3.80/sh+60,000$228,000→ 61,491 total
Sale
Common Stock
2021-11-11$245.80/sh−300$73,741→ 61,191 total
Sale
Common Stock
2021-11-11$247.41/sh−3,482$861,467→ 57,709 total
Sale
Common Stock
2021-11-11$249.21/sh−15,300$3,812,918→ 26,925 total
Sale
Common Stock
2021-11-11$250.20/sh−6,863$1,717,102→ 20,062 total
Sale
Common Stock
2021-11-11$251.27/sh−4,605$1,157,113→ 15,457 total
Sale
Common Stock
2021-11-11$252.36/sh−4,148$1,046,800→ 11,309 total
Sale
Common Stock
2021-11-11$253.21/sh−1,600$405,135→ 9,709 total
Sale
Common Stock
2021-11-11$254.77/sh−700$178,340→ 9,009 total
Sale
Common Stock
2021-11-11$255.81/sh−300$76,744→ 8,709 total
Sale
Common Stock
2021-11-11$257.61/sh−1,000$257,614→ 7,709 total
Sale
Common Stock
2021-11-11$258.78/sh−200$51,756→ 7,509 total
Sale
Common Stock
2021-11-11$260.48/sh−800$208,388→ 6,709 total
Sale
Common Stock
2021-11-11$261.20/sh−800$208,959→ 5,909 total
Sale
Common Stock
2021-11-11$262.35/sh−500$131,175→ 5,409 total
Sale
Common Stock
2021-11-11$248.37/sh−15,484$3,845,698→ 42,225 total
Sale
Common Stock
2021-11-11$263.76/sh−1,867$492,447→ 3,542 total
Sale
Common Stock
2021-11-11$264.76/sh−950$251,526→ 2,592 total
Sale
Common Stock
2021-11-11$265.46/sh−1,101$292,272→ 1,491 total
Exercise/Conversion
Stock Option (Right to buy)
2021-11-11−60,000→ 68,295 total
Exercise: $3.80Exp: 2029-03-29→ Common Stock (60,000 underlying)

Footnotes (21)

[F1]The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 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 $252.92 to $253.72.
[F11]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $254.50 to $255.05.
[F12]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $255.64 to $255.90.
[F13]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $257.10 to $258.05.
[F14]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $258.56 to $259.00.
[F15]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $260.00 to $260.98.
[F16]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $261.00 to $261.76.
[F17]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $262.11 to $262.56.
[F18]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $263.24 to $264.19.
[F19]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $264.24 to $265.00.
[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 $265.25 to $265.70.
[F21]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 $245.72 to $245.97. 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 (20) 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 $246.79 to $247.735.
[F5]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $247.79 to $248.78.
[F6]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $248.79 to $249.785.
[F7]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $249.795 to $250.79.
[F8]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $250.80 to $251.775.
[F9]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $251.92 to $252.91.

Documents

1 file

4
wf-form4_163701704530018.xmlPrimary
FORM 4

Issuer

Upstart Holdings, Inc.

CIK 0001647639

→

Entity typeother

Related Parties

filerCIK 0001481735

Filing Metadata

Form type: 4
Filed: Nov 14, 7:00 PM ET
Accepted: Nov 15, 5:58 PM ET
Size: 37.6 KB

View on SEC.gov