Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Upstart Holdings, Inc.UPST · Entity 4306 | Director · Chief Executive Officer | September 10, 2026 | September 10, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Upstart Holdings, Inc.
Report date September 10, 2026 · Filed September 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Indirectby LLC | 130,000 |
Reported balance
After 2026-09-10 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-09-10 · Purchase · Acquired 50,000 · Balance 130,000 F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.505 to $25.585. The Reporting Person undertakes 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 purchased at each separate price. F2: The reportable securities are owned by JECCO, LLC, of which the Reporting Person is a managing member. |
| Common StockSEC Table I · non-derivative | Direct | 1,102,616 |
Reported balance
Holding disclosure · report date 2026-09-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,102,616 F3: 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. |
| Common StockSEC Table I · non-derivative | Indirectby trust | 44,930 |
Reported balance
Holding disclosure · report date 2026-09-10 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 44,930 F4: The reportable securities are owned by The Paul Xinquan Gu 2021 Gifting Trust, of which the Reporting Person is a trustee. |
| Common StockSEC Table I · non-derivative | Indirectby trust | 70,000 |
Reported balance
Holding disclosure · report date 2026-09-10 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 70,000 F5: The reportable securities are owned by The Gu Qiao Family Trust, of which the Reporting Person is the trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.505 to $25.585. The Reporting Person undertakes 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 purchased at each separate price.
F2: The reportable securities are owned by JECCO, LLC, of which the Reporting Person is a managing member.
F3: 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.
F4: The reportable securities are owned by The Paul Xinquan Gu 2021 Gifting Trust, of which the Reporting Person is a trustee.
F5: The reportable securities are owned by The Gu Qiao Family Trust, of which the Reporting Person is the trustee.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 10, 2026 Filed Sep 10, 2026 23:13 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | PurchaseCommon Stock | 50,000 | $25.55 | $1,277,500.00 |
DisclosureSEC source: 0001832812-26-000010 · wk-form4_1789082008.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · by LLC Disclosed balance after: 130,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.505 to $25.585. The Reporting Person undertakes 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 purchased at each separate price. F2 · ownership.nature: The reportable securities are owned by JECCO, LLC, of which the Reporting Person is a managing member. Read SEC document |
| May 13, 2026 Filed May 14, 2026 12:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | PurchaseCommon Stock | 50,000 | $27.50 | $1,375,000.00 |
DisclosureSEC source: 0001832812-26-000006 · wk-form4_1778761449.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · by trust Disclosed balance after: 70,000 F1 · ownership.nature: The reportable securities are owned by The Gu Qiao Family Trust, of which the Reporting Person is a managing member. Read SEC document |
| February 28, 2026 Filed Mar 3, 2026 21:38 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | GrantPerformance-based Restricted Stock Unit · Derivative | 912,702 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001832812-26-000002 · wk-form4_1772573878.xml · derivative · entry 5 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 912,702 Underlying: Common Stock · 912,702 shares Expires not disclosed F5 · derivative.exercise_date: These securities are performance-based restricted stock units (PRSUs). Each PRSU represents a contingent right to receive one share of Common Stock in an amount from 0% to 300% of the target number of PRSUs granted. The actual number of PRSUs earned will be based, in part, upon achievement of certain TSR CAGR targets as of February 15, 2030 and subject to vesting on February 20, 2030, subject to the Reporting Person continuing as a service provider through such date. F5 · derivative.expiration_date: These securities are performance-based restricted stock units (PRSUs). Each PRSU represents a contingent right to receive one share of Common Stock in an amount from 0% to 300% of the target number of PRSUs granted. The actual number of PRSUs earned will be based, in part, upon achievement of certain TSR CAGR targets as of February 15, 2030 and subject to vesting on February 20, 2030, subject to the Reporting Person continuing as a service provider through such date. Read SEC document |
| November 11, 2025 Filed Nov 13, 2025 21:31 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | PurchaseCommon Stock | 80,000 | $39.23 | $3,138,400.00 |
DisclosureSEC source: 0001832812-25-000003 · wk-form4_1763069468.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Indirect · by LLC Disclosed balance after: 80,000 F1 · price: This purchase was matchable under Section 16(b) of the Securities Exchange Act of 1934 with a sale of 5,000 shares by the Reporting Person on September 2, 2025. The Reporting Person has remitted the resulting short-swing profits to the Company, which were $148,255.06. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.93 to $39.40. The Reporting Person undertakes 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 purchased at each separate price. F5 · ownership.nature: The reportable securities are owned directly by JECCO, LLC of which the Reporting Person is a managing member. Read SEC document |
| November 11, 2025 Filed Nov 13, 2025 21:31 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | PurchaseCommon Stock | 20,000 | $39.22 | $784,400.00 |
DisclosureSEC source: 0001832812-25-000003 · wk-form4_1763069468.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Indirect · by trust Disclosed balance after: 20,000 F1 · price: This purchase was matchable under Section 16(b) of the Securities Exchange Act of 1934 with a sale of 5,000 shares by the Reporting Person on September 2, 2025. The Reporting Person has remitted the resulting short-swing profits to the Company, which were $148,255.06. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.89 to $39.39. The Reporting Person undertakes 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 purchased at each separate price. F3 · ownership.nature: The reportable securities are owned by THE GU QIAO FAMILY TRUST, of which the Reporting Person is the trustee. Read SEC document |
| September 02, 2025 Filed Sep 4, 2025 21:48 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 2,500 | $8.88 Strike: $8.88 | $22,200.00 |
DisclosureSEC source: 0001647639-25-000118 · wk-form4_1757022497.xml · derivative · entry 6 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 181,336 Underlying: Common Stock · 2,500 shares Expires 2030-01-31 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. F5 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| September 02, 2025 Filed Sep 4, 2025 21:48 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 2,500 | $3.80 Strike: $3.80 | $9,500.00 |
DisclosureSEC source: 0001647639-25-000118 · wk-form4_1757022497.xml · derivative · entry 5 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 42,500 Underlying: Common Stock · 2,500 shares Expires 2029-03-29 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. F5 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| September 02, 2025 Filed Sep 4, 2025 21:48 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 2,337 | $68.91 | $161,038.46 |
DisclosureSEC source: 0001647639-25-000118 · wk-form4_1757022497.xml · nonDerivative · entry 4 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,147,156 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 21, 2025. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.80 to $69.125. The Reporting Person undertakes 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. Read SEC document |
| September 02, 2025 Filed Sep 4, 2025 21:48 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 2,663 | $68.35 | $182,020.84 |
DisclosureSEC source: 0001647639-25-000118 · wk-form4_1757022497.xml · nonDerivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,149,493 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 21, 2025. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.795 to $68.78. The Reporting Person undertakes 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. Read SEC document |
| September 02, 2025 Filed Sep 4, 2025 21:48 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 2,500 | $8.88 | $22,200.00 |
DisclosureSEC source: 0001647639-25-000118 · wk-form4_1757022497.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,152,156 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 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 21, 2025. Read SEC document |
| September 02, 2025 Filed Sep 4, 2025 21:48 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 2,500 | $3.80 | $9,500.00 |
DisclosureSEC source: 0001647639-25-000118 · wk-form4_1757022497.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,149,656 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 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 21, 2025. F2 · balance_after: 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. Read SEC document |
| June 17, 2025 Filed Jun 20, 2025 20:53 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 25,000 | $3.80 Strike: $3.80 | $95,000.00 |
DisclosureSEC source: 0001647639-25-000065 · wk-form4_1750452806.xml · derivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 25,000 shares Expires 2029-03-29 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_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| June 17, 2025 Filed Jun 20, 2025 20:53 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 25,000 | $3.80 | $95,000.00 |
DisclosureSEC source: 0001647639-25-000065 · wk-form4_1750452806.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,147,156 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 · balance_after: 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. Read SEC document |
| May 19, 2025 Filed May 21, 2025 21:35 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 25,000 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001628280-25-027124 · wk-form4_1747863348.xml · derivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 25,000 shares Expires 2029-03-29 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_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| May 19, 2025 Filed May 21, 2025 21:35 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 25,000 | $3.80 | $95,000.00 |
DisclosureSEC source: 0001628280-25-027124 · wk-form4_1747863348.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,122,156 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 · balance_after: 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. Read SEC document |
| April 14, 2025 Filed Apr 16, 2025 20:18 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 25,000 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001628280-25-017996 · wk-form4_1744834683.xml · derivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 95,000 Underlying: Common Stock · 25,000 shares Expires 2029-03-29 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_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| April 14, 2025 Filed Apr 16, 2025 20:18 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 25,000 | $3.80 | $95,000.00 |
DisclosureSEC source: 0001628280-25-017996 · wk-form4_1744834683.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,097,156 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 · balance_after: 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. Read SEC document |
| March 10, 2025 Filed Mar 10, 2025 23:23 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 4,844 | $0.00 Strike: $25.75 | $0.00 |
DisclosureSEC source: 0001647639-25-000027 · wk-form4_1741649015.xml · derivative · entry 8 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 106,593 Underlying: Common Stock · 4,844 shares Expires 2034-02-28 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. F3 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest on March 20, 2024 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| March 10, 2025 Filed Mar 10, 2025 23:23 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 13,269 | $0.00 Strike: $15.23 | $0.00 |
DisclosureSEC source: 0001647639-25-000027 · wk-form4_1741649015.xml · derivative · entry 7 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 285,332 Underlying: Common Stock · 13,269 shares Expires 2033-03-17 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_date: 1/48th of the shares subject to the option shall vest on March 20, 2023 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| March 10, 2025 Filed Mar 10, 2025 23:23 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 4,844 | $25.75 | $124,733.00 |
DisclosureSEC source: 0001647639-25-000027 · wk-form4_1741649015.xml · nonDerivative · entry 4 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,072,156 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. Read SEC document |
| March 10, 2025 Filed Mar 10, 2025 23:23 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 13,269 | $15.23 | $202,086.87 |
DisclosureSEC source: 0001647639-25-000027 · wk-form4_1741649015.xml · nonDerivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,067,312 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. Read SEC document |
| March 06, 2025 Filed Mar 10, 2025 23:23 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 4,844 | $0.00 Strike: $25.75 | $0.00 |
DisclosureSEC source: 0001647639-25-000027 · wk-form4_1741649015.xml · derivative · entry 6 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 111,437 Underlying: Common Stock · 4,844 shares Expires 2034-02-28 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. F3 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest on March 20, 2024 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| March 06, 2025 Filed Mar 10, 2025 23:23 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 13,269 | $0.00 Strike: $15.23 | $0.00 |
DisclosureSEC source: 0001647639-25-000027 · wk-form4_1741649015.xml · derivative · entry 5 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 298,601 Underlying: Common Stock · 13,269 shares Expires 2033-03-17 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_date: 1/48th of the shares subject to the option shall vest on March 20, 2023 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| March 06, 2025 Filed Mar 10, 2025 23:23 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 4,844 | $25.75 | $124,733.00 |
DisclosureSEC source: 0001647639-25-000027 · wk-form4_1741649015.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,054,043 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. Read SEC document |
| March 06, 2025 Filed Mar 10, 2025 23:23 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 13,269 | $15.23 | $202,086.87 |
DisclosureSEC source: 0001647639-25-000027 · wk-form4_1741649015.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,049,199 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 · balance_after: Certain of the securities reported in Column 5 of each row of Table I 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. Read SEC document |
| February 28, 2025 Filed Mar 5, 2025 01:00 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | GrantEmployee Stock Option (Right to buy) · Derivative | 55,728 | $0.00 Strike: $66.67 | $0.00 |
DisclosureSEC source: 0001628280-25-010171 · wk-form4_1741136401.xml · derivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,728 Underlying: Common Stock · 55,728 shares Expires 2035-02-27 F3 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest on March 20, 2025 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| February 28, 2025 Filed Mar 5, 2025 01:00 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | GrantCommon Stock | 29,331 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-010171 · wk-form4_1741136401.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,035,930 F1 · shares: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 1/16th of the RSUs shall vest on May 20, 2025 and at the end of each successive three month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. F2 · balance_after: Certain of these securities are 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. Read SEC document |
| February 20, 2025 Filed Feb 24, 2025 22:17 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 400 | $79.56 | $31,822.40 |
DisclosureSEC source: 0001628280-25-007442 · wk-form4_1740435426.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,006,599 F1 · kind: These shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units (RSUs). F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.525 to $79.58. Read SEC document |
| February 20, 2025 Filed Feb 24, 2025 22:17 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 11,607 | $79.00 | $917,004.07 |
DisclosureSEC source: 0001628280-25-007442 · wk-form4_1740435426.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,006,999 F1 · kind: These shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units (RSUs). F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.50 to $79.455. The Reporting Person undertakes 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 footnotes (2) and (5) to this Form 4. F3 · balance_after: Includes 683 shares acquired on February 15, 2025 under the Issuer's 2020 Employee Stock Purchase Plan. F4 · balance_after: Certain of the securities reported in Column 5 of each row of Table I are 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. Read SEC document |
| January 31, 2025 Filed Feb 4, 2025 21:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 6,566 | $0.00 Strike: $15.23 | $0.00 |
DisclosureSEC source: 0001628280-25-003742 · wk-form4_1738704263.xml · derivative · entry 4 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 311,870 Underlying: Common Stock · 6,566 shares Expires 2033-03-17 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. F3 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest on March 20, 2023 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| January 31, 2025 Filed Feb 4, 2025 21:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 17,500 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001628280-25-003742 · wk-form4_1738704263.xml · derivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,000 Underlying: Common Stock · 17,500 shares Expires 2029-03-29 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_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| January 31, 2025 Filed Feb 4, 2025 21:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 6,566 | $15.23 | $100,000.18 |
DisclosureSEC source: 0001628280-25-003742 · wk-form4_1738704263.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,017,923 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. Read SEC document |
| January 31, 2025 Filed Feb 4, 2025 21:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 17,500 | $3.80 | $66,500.00 |
DisclosureSEC source: 0001628280-25-003742 · wk-form4_1738704263.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,011,357 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 · balance_after: Certain of the securities reported in Column 5 of each row of Table I 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. Read SEC document |
| January 13, 2025 Filed Jan 15, 2025 21:27 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 30,792 | $0.00 Strike: $2.15 | $0.00 |
DisclosureSEC source: 0001628280-25-001602 · wk-form4_1736976425.xml · derivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,792 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. F2 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| January 13, 2025 Filed Jan 15, 2025 21:27 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 30,792 | $2.15 | $66,202.80 |
DisclosureSEC source: 0001628280-25-001602 · wk-form4_1736976425.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 993,857 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 · balance_after: 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. Read SEC document |
| January 07, 2025 Filed Jan 10, 2025 21:05 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 50,000 | $0.00 Strike: $2.15 | $0.00 |
DisclosureSEC source: 0001628280-25-001124 · wk-form4_1736543097.xml · derivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,792 Underlying: Common Stock · 50,000 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. F2 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| January 07, 2025 Filed Jan 10, 2025 21:05 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 50,000 | $2.15 | $107,500.00 |
DisclosureSEC source: 0001628280-25-001124 · wk-form4_1736543097.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 963,065 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 · balance_after: 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. Read SEC document |
| December 30, 2024 Filed Dec 31, 2024 21:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 50,000 | $0.00 Strike: $2.15 | $0.00 |
DisclosureSEC source: 0001628280-24-052643 · wk-form4_1735680288.xml · derivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 80,792 Underlying: Common Stock · 50,000 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. F2 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| December 30, 2024 Filed Dec 31, 2024 21:24 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 50,000 | $2.15 | $107,500.00 |
DisclosureSEC source: 0001628280-24-052643 · wk-form4_1735680288.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 913,065 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 · balance_after: 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. Read SEC document |
| December 06, 2024 Filed Dec 6, 2024 22:37 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 40,226 | $0.00 Strike: $1.17 | $0.00 |
DisclosureSEC source: 0001628280-24-050263 · wk-form4_1733524658.xml · derivative · entry 10 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,226 shares Expires 2026-06-24 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 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 29, 2024. F7 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| December 06, 2024 Filed Dec 6, 2024 22:37 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 4,350 | $76.18 | $331,372.56 |
DisclosureSEC source: 0001628280-24-050263 · wk-form4_1733524658.xml · nonDerivative · entry 7 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 863,065 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 29, 2024. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.005 to $76.31. Read SEC document |
| December 06, 2024 Filed Dec 6, 2024 22:37 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 35,876 | $75.37 | $2,703,945.42 |
DisclosureSEC source: 0001628280-24-050263 · wk-form4_1733524658.xml · nonDerivative · entry 6 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 867,415 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 29, 2024. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.99. Read SEC document |
| December 06, 2024 Filed Dec 6, 2024 22:37 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 40,226 | $1.17 | $47,064.42 |
DisclosureSEC source: 0001628280-24-050263 · wk-form4_1733524658.xml · nonDerivative · entry 5 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 903,291 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 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 29, 2024. Read SEC document |
| December 05, 2024 Filed Dec 6, 2024 22:37 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 4,019 | $0.00 Strike: $1.17 | $0.00 |
DisclosureSEC source: 0001628280-24-050263 · wk-form4_1733524658.xml · derivative · entry 9 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 40,226 Underlying: Common Stock · 4,019 shares Expires 2026-06-24 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 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 29, 2024. F7 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| December 05, 2024 Filed Dec 6, 2024 22:37 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 4,019 | $75.00 | $301,425.40 |
DisclosureSEC source: 0001628280-24-050263 · wk-form4_1733524658.xml · nonDerivative · entry 4 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 863,065 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 29, 2024. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.005. Read SEC document |
| December 05, 2024 Filed Dec 6, 2024 22:37 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 4,019 | $1.17 | $4,702.23 |
DisclosureSEC source: 0001628280-24-050263 · wk-form4_1733524658.xml · nonDerivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 867,084 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 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 29, 2024. Read SEC document |
| December 04, 2024 Filed Dec 6, 2024 22:37 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 28,155 | $0.00 Strike: $1.17 | $0.00 |
DisclosureSEC source: 0001628280-24-050263 · wk-form4_1733524658.xml · derivative · entry 8 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 44,245 Underlying: Common Stock · 28,155 shares Expires 2026-06-24 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 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 29, 2024. F7 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| December 04, 2024 Filed Dec 6, 2024 22:37 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 28,155 | $75.06 | $2,113,325.56 |
DisclosureSEC source: 0001628280-24-050263 · wk-form4_1733524658.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 863,065 F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 29, 2024. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to 75.20. The Reporting Person undertakes 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 footnotes (3) through (6) to this Form 4. Read SEC document |
| December 04, 2024 Filed Dec 6, 2024 22:37 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 28,155 | $1.17 | $32,941.35 |
DisclosureSEC source: 0001628280-24-050263 · wk-form4_1733524658.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 891,220 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 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 29, 2024. F2 · balance_after: Certain of the securities reported in Column 5 of each row of Table I 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. Read SEC document |
| December 02, 2024 Filed Dec 4, 2024 21:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 87,600 | $0.00 Strike: $1.17 | $0.00 |
DisclosureSEC source: 0001628280-24-049915 · wk-form4_1733346604.xml · derivative · entry 8 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 72,400 Underlying: Common Stock · 87,600 shares Expires 2026-06-24 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 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 29, 2024. F9 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.