Accession Number: | 0001628280-22-030199 |
Date: | 2022-11-14 |
Issuer: | UPSTART HOLDINGS, INC. (UPST) |
Original Submission Date: |
DATTA SANJAY
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 | 2022-11-14 | M | 2,300 | a | $1.35 | 55,808 | direct | ||
COMMON STOCK | 2022-11-14 | S | 2,300 | d | $22.01 | 53,508 | 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) | 1.35 | 2022-11-14 | deemed execution date | M | 2,300 (d) | 2026-12-28 | common stock 2,300 | $1.35 | 97,839 | direct |
ID | footnote |
---|---|
f1 | the option exercise and sale reported on this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on august 30, 2022. |
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. |
f3 | all of the shares subject to this option are fully vested and exercisable as of the date hereof. |