Form Type: 4

SEC EDGAR Link
Accession Number:0001628280-22-030199
Date:2022-11-14
Issuer: UPSTART HOLDINGS, INC. (UPST)
Original Submission Date:

Reporting Person:

DATTA SANJAY
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 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
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) 1.35 2022-11-14 deemed execution date M 2,300 (d) 2026-12-28 common stock 2,300 $1.35 97,839 direct
Footnotes
IDfootnote
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.
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