UPST

SEC source: 0001209191-21-022652 · doc4.xml · derivative · entry 6

Girouard Dave · CIK 0001832805 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,486

Underlying: Common Stock · 106,486 shares

Expires 2031-03-20

F6 · derivative.exercise_date: 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.

SEC source: 0001209191-21-022652 · doc4.xml · nonDerivative · entry 1

Girouard Dave · CIK 0001832805 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,243

F1 · shares: 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.

F1 · balance_after: 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.

SEC source: 0001209191-21-022650 · doc4.xml · derivative · entry 2

Datta Sanjay · CIK 0001832808 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,824

Underlying: Common Stock · 50,824 shares

Expires 2031-03-20

F2 · derivative.exercise_date: 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.

SEC source: 0001209191-21-022650 · doc4.xml · nonDerivative · entry 1

Datta Sanjay · CIK 0001832808 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,412

F1 · shares: 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.

F1 · balance_after: 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.

SEC source: 0001209191-21-022649 · doc4.xml · derivative · entry 2

Counselman Anna M. · CIK 0001832809 · SVP, People and Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,460

Underlying: Common Stock · 24,460 shares

Expires 2031-03-20

F2 · derivative.exercise_date: 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.

SEC source: 0001209191-21-022649 · doc4.xml · nonDerivative · entry 1

Counselman Anna M. · CIK 0001832809 · SVP, People and Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,230

F1 · shares: 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.

F1 · balance_after: 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.

SEC source: 0001209191-21-021662 · doc4.xml · nonDerivative · entry 1

Cooper Kerry Whorton · CIK 0001817263 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,297

F1 · shares: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 100% of the RSUs shall vest on March 15, 2022, subject to the Reporting Person continuing as a service provider through such date.

SEC source: 0001209191-21-018947 · doc4.xml · derivative · entry 2

Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,000

Underlying: Common Stock · 10,000 shares

Expires 2027-12-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: This option, originally for 200,000 shares, of which 10,000 shares have been exercised, vested as to one forty-eighth of the shares on February 1, 2018 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001209191-21-018947 · doc4.xml · nonDerivative · entry 1

Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-064689 · doc4.xml · nonDerivative · entry 1

Nicoll Alison · CIK 0001833661 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Represents the sale price to the underwriters in the Issuer's initial public offering of $18.60 per share.

SEC source: 0001209191-20-064688 · doc4.xml · nonDerivative · entry 1

Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

F1 · price: Represents the sale price to the underwriters in the Issuer's initial public offering of $18.60 per share.

SEC source: 0001209191-20-064687 · doc4.xml · derivative · entry 7

Girouard Dave · CIK 0001832805 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 407,457 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series B Preferred Stock and Series C-1 Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.exercise_date: The Series B Preferred Stock and Series C-1 Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.expiration_date: The Series B Preferred Stock and Series C-1 Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · ownership.nature: These shares are held by 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee.

SEC source: 0001209191-20-064687 · doc4.xml · derivative · entry 6

Girouard Dave · CIK 0001832805 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 385,383 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series B Preferred Stock and Series C-1 Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.exercise_date: The Series B Preferred Stock and Series C-1 Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.expiration_date: The Series B Preferred Stock and Series C-1 Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · ownership.nature: These shares are held by 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee.

SEC source: 0001209191-20-064687 · doc4.xml · nonDerivative · entry 2

Girouard Dave · CIK 0001832805 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,592,840

F3 · price: Represents the sale price to the underwriters in the Issuer's initial public offering of $18.60 per share.

F2 · ownership.nature: These shares are held by 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee.

SEC source: 0001209191-20-064687 · doc4.xml · nonDerivative · entry 1

Girouard Dave · CIK 0001832805 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,592,840

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The Series B Preferred Stock and Series C-1 Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · ownership.nature: These shares are held by 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee.

SEC source: 0001209191-20-064686 · doc4.xml · nonDerivative · entry 1

Counselman Anna M. · CIK 0001832809 · SVP, People and Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Represents the sale price to the underwriters in the Issuer's initial public offering of $18.60 per share.

SEC source: 0001567619-20-021491 · doc1.xml · derivative · entry 5

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 0

Underlying: Common Stock · 5,235,426 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F2 · derivative.exercise_date: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F2 · derivative.expiration_date: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F1 · ownership.nature: The securities of the Issuer set forth herein are directly beneficially owned by Third Point Ventures, LLC ("Third Point Ventures"). Third Point Ventures is an affiliate of 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 Third Point Ventures. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F2 · ownership.nature: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

SEC source: 0001567619-20-021491 · doc1.xml · derivative · entry 4

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 0

Underlying: Common Stock · 6,945,796 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F2 · derivative.exercise_date: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F2 · derivative.expiration_date: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F1 · ownership.nature: The securities of the Issuer set forth herein are directly beneficially owned by Third Point Ventures, LLC ("Third Point Ventures"). Third Point Ventures is an affiliate of 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 Third Point Ventures. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F2 · ownership.nature: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

SEC source: 0001567619-20-021491 · doc1.xml · nonDerivative · entry 3

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 13,381,222

F1 · ownership.nature: The securities of the Issuer set forth herein are directly beneficially owned by Third Point Ventures, LLC ("Third Point Ventures"). Third Point Ventures is an affiliate of 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 Third Point Ventures. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F3 · ownership.nature: In connection with the Issuer's initial public offering of Common Stock, Third Point Ventures purchased additional shares of Common Stock from the underwriters at the initial public offering price as set forth herein.

SEC source: 0001567619-20-021491 · doc1.xml · nonDerivative · entry 2

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 12,181,222

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F1 · ownership.nature: The securities of the Issuer set forth herein are directly beneficially owned by Third Point Ventures, LLC ("Third Point Ventures"). Third Point Ventures is an affiliate of 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 Third Point Ventures. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F2 · ownership.nature: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

SEC source: 0001567619-20-021491 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 6,945,796

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F1 · ownership.nature: The securities of the Issuer set forth herein are directly beneficially owned by Third Point Ventures, LLC ("Third Point Ventures"). Third Point Ventures is an affiliate of 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 Third Point Ventures. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F2 · ownership.nature: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

SEC source: 0001209191-20-064111 · doc4.xml · derivative · entry 2

Nicoll Alison · CIK 0001833661 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,435

Underlying: Common Stock · 70,000 shares

Expires 2023-03-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof.

SEC source: 0001209191-20-064111 · doc4.xml · nonDerivative · entry 1

Nicoll Alison · CIK 0001833661 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-064106 · doc4.xml · derivative · entry 4

Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,876

Underlying: Common Stock · 3,124 shares

Expires 2022-08-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof.

SEC source: 0001209191-20-064106 · doc4.xml · derivative · entry 3

Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 210,000 shares

Expires 2022-05-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof.

SEC source: 0001209191-20-064106 · doc4.xml · nonDerivative · entry 2

Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413,124

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-064106 · doc4.xml · nonDerivative · entry 1

Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 410,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-064105 · doc4.xml · derivative · entry 2

Counselman Anna M. · CIK 0001832809 · SVP, People and Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,355

Underlying: Common Stock · 77,145 shares

Expires 2022-05-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof.

SEC source: 0001209191-20-064105 · doc4.xml · nonDerivative · entry 1

Counselman Anna M. · CIK 0001832809 · SVP, People and Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,645

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.