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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Upstart Holdings Inc | NASDAQ:UPST | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.74 | 3.15% | 24.25 | 24.00 | 24.25 | 24.98 | 23.51 | 24.67 | 4,310,850 | 05:00:06 |
1. Name and Address of Reporting Person * Gu Paul | 2. Issuer Name and Ticker or Trading Symbol Upstart Holdings, Inc. [ UPST ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP, Product and Data Science |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/15/2021 | M(1) | 106876 | A | $0.23 | 384288 (2) | D | |||
Common Stock | 10/15/2021 | M(1) | 48124 | A | $0.43 | 432412 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 1300 | D | $381.8974 (3) | 431112 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 3100 | D | $382.8632 (4) | 428012 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 2200 | D | $383.83 (5) | 425812 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 3200 | D | $384.9597 (6) | 422612 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 12184 | D | $386.0992 (7) | 410428 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 14553 | D | $386.9675 (8) | 395875 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 17461 | D | $388.0407 (9) | 378414 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 18462 | D | $388.9337 (10) | 359952 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 11511 | D | $389.9255 (11) | 348441 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 5500 | D | $390.9017 (12) | 342941 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 10400 | D | $392.0742 (13) | 332541 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 12200 | D | $392.9295 (14) | 320341 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 10029 | D | $394.023 (15) | 310312 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 9400 | D | $394.9513 (16) | 300912 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 6900 | D | $395.9933 (17) | 294012 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 7200 | D | $397.0315 (18) | 286812 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 6200 | D | $398.0956 (19) | 280612 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 1900 | D | $399.0611 (20) | 278712 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 1000 | D | $399.864 (21) | 277712 (2) | D | |||
Common Stock | 10/15/2021 | S(1) | 300 | D | $401.1567 (22) | 277412 (2) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to buy) | $0.23 | 10/15/2021 | M (1) | 106876 | (23) | 5/23/2023 | Common Stock | 106876 | $0.00 | 0 | D | ||||
Employee Stock Option (Right to buy) | $0.43 | 10/15/2021 | M (1) | 48124 | (23) | 6/19/2024 | Common Stock | 48124 | $0.00 | 221876 | D |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
Gu Paul C/O UPSTART HOLDINGS, INC. 2950 S. DELAWARE STREET, SUITE 300 SAN MATEO, CA 94403 | X | SVP, Product and Data Science |
Signatures | ||
Christopher Ing, by power of attorney | 10/19/2021 | |
**Signature of Reporting Person | Date |
1 Year Upstart Chart |
1 Month Upstart Chart |
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