Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-022658
Date:2021-03-20
Issuer: UPSTART HOLDINGS, INC. (UPST)
Original Submission Date:

Reporting Person:

NICOLL ALISON
C/O UPSTART HOLDINGS, INC.
2950 S. DELAWARE STREET, SUITE 300 SAN MATEO, CA 94403

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-03-20 A 12,230 a $0.00 12,230 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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 24,460 (a) 2031-03-20 common stock 24,460 $125.28 24,460 direct
Footnotes
IDfootnote
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 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.
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