Accession Number: | 0001209191-21-022654 |
Date: | 2021-03-20 |
Issuer: | UPSTART HOLDINGS, INC. (UPST) |
Original Submission Date: |
GU PAUL
C/O UPSTART HOLDINGS, INC.
2950 S. DELAWARE STREET, SUITE 300
SAN MATEO, CA 94403
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2021-03-20 | A | 25,412 | a | $0.00 | 235,412 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 125.28 | 2021-03-20 | deemed execution date | A | 50,824 (a) | 2031-03-20 | common stock 50,824 | $125.28 | 50,824 | direct |
ID | footnote |
---|---|
f1 | these securities are restricted stock units (rsus). each rsu represents a contingent right to receive one share of common stock. 20% of the rsus shall vest on february 20, 2023 and each three-month anniversary thereafter, subject to the reporting person continuing as a service provider through each such date. |
f2 | certain of these securities are 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. |
f3 | 1/14th of the shares subject to the option shall vest on january 20, 2023 and each one-month anniversary thereafter, subject to the reporting person continuing as a service provider through each such date. |