Form Type: 4

SEC EDGAR Link
Accession Number:0000899243-21-046183
Date:2021-11-23
Issuer: UPSTART HOLDINGS, INC. (UPST)
Original Submission Date:

Reporting Person:

LOEB DANIEL S
390 PARK AVENUE
NEW YORK, NY 10022

Reporting Person:

THIRD POINT LLC
390 PARK AVENUE
NEW YORK, NY 10022

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 2021-11-23 S 9,227 d $190.31 9,490,773 f1 indirect f1
COMMON STOCK 2021-11-23 S 7,254 d $191.41 9,483,519 f1 indirect f1
COMMON STOCK 2021-11-23 S 12,516 d $192.60 9,471,003 f1 indirect f1
COMMON STOCK 2021-11-23 S 18,233 d $193.58 9,452,770 f1 indirect f1
COMMON STOCK 2021-11-23 S 22,005 d $194.39 9,430,765 f1 indirect f1
COMMON STOCK 2021-11-23 S 30,765 d $195.47 9,400,000 f1 indirect f1
COMMON STOCK 2021-11-23 S 18,513 d $200.43 9,381,487 f1 indirect f1
COMMON STOCK 2021-11-23 S 20,544 d $201.35 9,360,943 f1 indirect f1
COMMON STOCK 2021-11-23 S 25,277 d $202.54 9,335,666 f1 indirect f1
COMMON STOCK 2021-11-23 S 15,591 d $203.61 9,320,075 f1 indirect f1
COMMON STOCK 2021-11-23 S 14,993 d $204.59 9,305,082 f1 indirect f1
COMMON STOCK 2021-11-23 S 5,082 d $205.38 9,300,000 f1 indirect f1
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
Footnotes
IDfootnote
f1 the shares of common stock, par value $0.0001 per share of the issuer (the "common stock") set forth herein are held by or on behalf of certain funds (the "funds") managed or advised by third point llc ("third point"). daniel s. loeb is the chief executive officer of third point. by reason of the provisions of rule 13d-3 under the securities exchange act of 1934, as amended, third point and mr. loeb may be deemed to be the beneficial owners of the securities beneficially owned by the funds. third point and mr. loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $190.00 to $190.95, inclusive. the reporting persons undertake 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 this footnote 2 to this form 4.
f3 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $191.00 to $191.97, inclusive. the reporting persons undertake 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 this footnote 3 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 $192.00 to $192.975, inclusive. the reporting persons undertake 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 this footnote 4 to this form 4.
f5 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $193.00 to $193.99, inclusive. the reporting persons undertake 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 this footnote 5 to this form 4.
f6 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $194.00 to $194.97, inclusive. the reporting persons undertake 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 this footnote 6 to this form 4.
f7 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $195.00 to $195.58, inclusive. the reporting persons undertake 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 this footnote 7 to this form 4.
f8 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $200.00 to $200.995, inclusive. the reporting persons undertake 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 this footnote 8 to this form 4.
f9 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $201.00 to $201.995, inclusive. the reporting persons undertake 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 this footnote 9 to this form 4.
f10 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $202.00 to $202.995, inclusive. the reporting persons undertake 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 this footnote 10 to this form 4.
f11 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $203.00 to $203.99, inclusive. the reporting persons undertake 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 this footnote 11 to this form 4.
f12 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $204.00 to $204.99, inclusive. the reporting persons undertake 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 this footnote 12 to this form 4.
f13 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $205.00 to $205.73, inclusive. the reporting persons undertake 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 this footnote 13 to this form 4.
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