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 |
|---|---|---|---|---|---|---|
| August 15, 2024 Filed Aug 19, 2024 20:08 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 35,000 | $0.00 Strike: $1.17 | $0.00 |
DisclosureSEC source: 0001628280-24-037688 · wk-form4_1724098070.xml · derivative · entry 4 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 35,864 Underlying: Common Stock · 35,000 shares Expires 2025-12-18 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 · 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 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| August 15, 2024 Filed Aug 19, 2024 20:08 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 2,883 | $37.79 | $108,941.36 |
DisclosureSEC source: 0001628280-24-037688 · wk-form4_1724098070.xml · nonDerivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 894,629 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 $37.62 to $38.02. Read SEC document |
| August 15, 2024 Filed Aug 19, 2024 20:08 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 32,117 | $36.97 | $1,187,304.47 |
DisclosureSEC source: 0001628280-24-037688 · wk-form4_1724098070.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 897,512 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 $36.62 to $37.61. 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 (4) to this Form 4. Read SEC document |
| August 15, 2024 Filed Aug 19, 2024 20:08 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 35,000 | $1.17 | $40,950.00 |
DisclosureSEC source: 0001628280-24-037688 · wk-form4_1724098070.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 929,629 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 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 |
| July 15, 2024 Filed Jul 17, 2024 20:07 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 10,000 | $0.00 Strike: $1.17 | $0.00 |
DisclosureSEC source: 0001628280-24-032072 · wk-form4_1721246822.xml · derivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 70,864 Underlying: Common Stock · 10,000 shares Expires 2025-12-18 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 · 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 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| July 15, 2024 Filed Jul 17, 2024 20:07 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 10,000 | $30.05 | $300,541.00 |
DisclosureSEC source: 0001628280-24-032072 · wk-form4_1721246822.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 894,629 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 $30.00 to $30.11. 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 |
| July 15, 2024 Filed Jul 17, 2024 20:07 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 10,000 | $1.17 | $11,700.00 |
DisclosureSEC source: 0001628280-24-032072 · wk-form4_1721246822.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 904,629 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 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 |
| July 11, 2024 Filed Jul 15, 2024 20:34 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 10,000 | $0.00 Strike: $1.17 | $0.00 |
DisclosureSEC source: 0001628280-24-031886 · wk-form4_1721075636.xml · derivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 80,864 Underlying: Common Stock · 10,000 shares Expires 2025-12-18 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 · 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 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| July 11, 2024 Filed Jul 15, 2024 20:34 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 10,000 | $25.88 | $258,765.00 |
DisclosureSEC source: 0001628280-24-031886 · wk-form4_1721075636.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 894,629 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 $25.59 to $26.15. 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 |
| July 11, 2024 Filed Jul 15, 2024 20:34 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 10,000 | $1.17 | $11,700.00 |
DisclosureSEC source: 0001628280-24-031886 · wk-form4_1721075636.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 904,629 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 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 |
| July 01, 2024 Filed Jul 3, 2024 21:02 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 5,000 | $0.00 Strike: $1.17 | $0.00 |
DisclosureSEC source: 0001628280-24-031168 · wk-form4_1720040552.xml · derivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 90,864 Underlying: Common Stock · 5,000 shares Expires 2025-12-18 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 · 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 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| July 01, 2024 Filed Jul 3, 2024 21:02 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 5,000 | $23.52 | $117,591.00 |
DisclosureSEC source: 0001628280-24-031168 · wk-form4_1720040552.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 894,629 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 $23.42 to $23.615. 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 |
| July 01, 2024 Filed Jul 3, 2024 21:02 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 5,000 | $1.17 | $5,850.00 |
DisclosureSEC source: 0001628280-24-031168 · wk-form4_1720040552.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 899,629 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 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 03, 2024 Filed Jun 5, 2024 23:57 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 15,000 | $0.00 Strike: $1.17 | $0.00 |
DisclosureSEC source: 0001628280-24-026947 · wk-form4_1717631841.xml · derivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 95,864 Underlying: Common Stock · 15,000 shares Expires 2025-12-18 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 · 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 · 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 03, 2024 Filed Jun 5, 2024 23:57 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 15,000 | $25.20 | $378,001.50 |
DisclosureSEC source: 0001628280-24-026947 · wk-form4_1717631841.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 894,629 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 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.47. 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 |
| June 03, 2024 Filed Jun 5, 2024 23:57 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 15,000 | $1.17 | $17,550.00 |
DisclosureSEC source: 0001628280-24-026947 · wk-form4_1717631841.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 909,629 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. F1 · balance_after: 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 |
| May 20, 2024 Filed May 21, 2024 22:44 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 15,131 | $25.61 | $387,477.67 |
DisclosureSEC source: 0001628280-24-024611 · wk-form4_1716331465.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 894,629 F2 · kind: These shares were sold to cover tax withholding obligations in connection with the vesting of RSUs. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.26 to $26.21. 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 range set forth in this footnote. Read SEC document |
| May 17, 2024 Filed May 21, 2024 22:44 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 16,164 | $0.00 Strike: $8.88 | $0.00 |
DisclosureSEC source: 0001628280-24-024611 · wk-form4_1716331465.xml · derivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 183,836 Underlying: Common Stock · 16,164 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. F4 · 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 17, 2024 Filed May 21, 2024 22:44 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 16,164 | $8.88 | $143,536.32 |
DisclosureSEC source: 0001628280-24-024611 · wk-form4_1716331465.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 909,760 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 15, 2024 Filed May 16, 2024 23:56 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 50,000 | $0.00 Strike: $1.17 | $0.00 |
DisclosureSEC source: 0001647639-24-000023 · wk-form4_1715903747.xml · derivative · entry 6 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 110,864 Underlying: Common Stock · 50,000 shares Expires 2025-12-18 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 · 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 May 26, 2023. 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 |
| May 15, 2024 Filed May 16, 2024 23:56 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 30,000 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001647639-24-000023 · wk-form4_1715903747.xml · derivative · entry 5 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2025-01-14 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 May 26, 2023. 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 |
| May 15, 2024 Filed May 16, 2024 23:56 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 39,694 | $30.04 | $1,192,407.76 |
DisclosureSEC source: 0001647639-24-000023 · wk-form4_1715903747.xml · nonDerivative · entry 4 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 893,596 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 May 26, 2023. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.675 to $30.13. Read SEC document |
| May 15, 2024 Filed May 16, 2024 23:56 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 40,306 | $29.00 | $1,168,874.00 |
DisclosureSEC source: 0001647639-24-000023 · wk-form4_1715903747.xml · nonDerivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 933,290 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 May 26, 2023. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.66 to $29.64. 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) and (4) to this Form 4. Read SEC document |
| May 15, 2024 Filed May 16, 2024 23:56 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 50,000 | $1.17 | $58,500.00 |
DisclosureSEC source: 0001647639-24-000023 · wk-form4_1715903747.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 973,596 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 May 26, 2023. Read SEC document |
| May 15, 2024 Filed May 16, 2024 23:56 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 30,000 | $0.60 | $18,000.00 |
DisclosureSEC source: 0001647639-24-000023 · wk-form4_1715903747.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 923,596 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 May 26, 2023. 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 |
| April 01, 2024 Filed Apr 3, 2024 21:23 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 60,000 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001628280-24-014669 · wk-form4_1712179399.xml · derivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 60,000 shares Expires 2025-01-14 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 sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 26, 2023. F4 · 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 01, 2024 Filed Apr 3, 2024 21:23 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 60,000 | $26.31 | $1,578,672.00 |
DisclosureSEC source: 0001628280-24-014669 · wk-form4_1712179399.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 893,596 F1 · kind: 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 May 26, 2023. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.07 to $26.87. 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 |
| April 01, 2024 Filed Apr 3, 2024 21:23 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 60,000 | $0.60 | $36,000.00 |
DisclosureSEC source: 0001628280-24-014669 · wk-form4_1712179399.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 953,596 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 sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 26, 2023. 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 |
| March 01, 2024 Filed Mar 4, 2024 23:13 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 30,000 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001628280-24-008650 · wk-form4_1709593981.xml · derivative · entry 6 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 30,000 shares Expires 2025-01-14 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 · kind: 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 May 26, 2023. 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 |
| March 01, 2024 Filed Mar 4, 2024 23:13 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,297 | $26.16 | $33,925.50 |
DisclosureSEC source: 0001628280-24-008650 · wk-form4_1709593981.xml · nonDerivative · entry 4 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 893,596 F3 · kind: 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 May 26, 2023. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.09 to $26.22. Read SEC document |
| March 01, 2024 Filed Mar 4, 2024 23:13 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 28,703 | $25.64 | $735,847.33 |
DisclosureSEC source: 0001628280-24-008650 · wk-form4_1709593981.xml · nonDerivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 894,893 F3 · kind: 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 May 26, 2023. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.08 to $26.05. 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 (4) and (5) to this Form 4. Read SEC document |
| March 01, 2024 Filed Mar 4, 2024 23:13 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 30,000 | $0.60 | $18,000.00 |
DisclosureSEC source: 0001628280-24-008650 · wk-form4_1709593981.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 923,596 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 · kind: 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 May 26, 2023. Read SEC document |
| February 29, 2024 Filed Mar 4, 2024 23:13 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | GrantEmployee Stock Option (Right to buy) · Derivative | 116,281 | $0.00 Strike: $25.75 | $0.00 |
DisclosureSEC source: 0001628280-24-008650 · wk-form4_1709593981.xml · derivative · entry 5 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 116,281 Underlying: Common Stock · 116,281 shares Expires 2034-02-28 F6 · 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 |
| February 29, 2024 Filed Mar 4, 2024 23:13 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | GrantCommon Stock | 61,201 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-008650 · wk-form4_1709593981.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 893,596 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, 2024 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, 2024 Filed Feb 22, 2024 21:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 16,423 | $25.28 | $415,214.50 |
DisclosureSEC source: 0001628280-24-006377 · wk-form4_1708637123.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 832,395 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 $25.10 to $25.55. 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. F3 · 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 15, 2024 Filed Feb 20, 2024 21:06 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 30,000 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001628280-24-005568 · wk-form4_1708463180.xml · derivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 120,000 Underlying: Common Stock · 30,000 shares Expires 2025-01-14 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 sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 26, 2023. 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 |
| February 15, 2024 Filed Feb 20, 2024 21:06 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 30,000 | $26.50 | $795,036.00 |
DisclosureSEC source: 0001628280-24-005568 · wk-form4_1708463180.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 848,818 F1 · kind: 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 May 26, 2023. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.27 to $26.95. 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 |
| February 15, 2024 Filed Feb 20, 2024 21:06 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 30,000 | $0.60 | $18,000.00 |
DisclosureSEC source: 0001628280-24-005568 · wk-form4_1708463180.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 878,818 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 sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 26, 2023. 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. F3 · balance_after: Includes 755 shares acquired on February 15, 2024 under the Issuer's 2020 Employee Stock Purchase Plan. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 21:11 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 50,000 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001628280-24-000439 · wk-form4_1704402687.xml · derivative · entry 7 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 50,000 shares Expires 2025-01-14 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 May 26, 2023. F6 · 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 02, 2024 Filed Jan 4, 2024 21:11 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 10,000 | $0.00 Strike: $0.43 | $0.00 |
DisclosureSEC source: 0001628280-24-000439 · wk-form4_1704402687.xml · derivative · entry 6 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2024-06-19 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 May 26, 2023. F6 · 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 02, 2024 Filed Jan 4, 2024 21:11 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,300 | $40.57 | $52,741.00 |
DisclosureSEC source: 0001628280-24-000439 · wk-form4_1704402687.xml · nonDerivative · entry 5 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 848,063 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 May 26, 2023. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.42 to $40.74. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 21:11 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 23,930 | $39.94 | $955,661.30 |
DisclosureSEC source: 0001628280-24-000439 · wk-form4_1704402687.xml · nonDerivative · entry 4 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 849,363 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 May 26, 2023. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.42 to $40.41. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 21:11 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 34,770 | $39.01 | $1,356,210.80 |
DisclosureSEC source: 0001628280-24-000439 · wk-form4_1704402687.xml · nonDerivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 873,293 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 May 26, 2023. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.41 to $39.405. 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 (5) to this Form 4. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 21:11 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 50,000 | $0.60 | $30,000.00 |
DisclosureSEC source: 0001628280-24-000439 · wk-form4_1704402687.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 908,063 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 May 26, 2023. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 21:11 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 10,000 | $0.43 | $4,300.00 |
DisclosureSEC source: 0001628280-24-000439 · wk-form4_1704402687.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 858,063 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 May 26, 2023. 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 |
| December 13, 2023 Filed Dec 15, 2023 21:12 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 10,000 | $0.00 Strike: $0.43 | $0.00 |
DisclosureSEC source: 0001628280-23-041676 · wk-form4_1702674760.xml · derivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2024-06-19 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 sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 26, 2023. F4 · 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 13, 2023 Filed Dec 15, 2023 21:12 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 10,000 | $40.03 | $400,265.00 |
DisclosureSEC source: 0001628280-23-041676 · wk-form4_1702674760.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 848,063 F1 · kind: 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 May 26, 2023. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.08. 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 |
| December 13, 2023 Filed Dec 15, 2023 21:12 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 10,000 | $0.43 | $4,300.00 |
DisclosureSEC source: 0001628280-23-041676 · wk-form4_1702674760.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 858,063 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 sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 26, 2023. 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 |
| December 06, 2023 Filed Dec 9, 2023 00:39 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 10,000 | $0.00 Strike: $0.43 | $0.00 |
DisclosureSEC source: 0001628280-23-041173 · wk-form4_1702082342.xml · derivative · entry 3 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 10,000 shares Expires 2024-06-19 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 sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 26, 2023. F4 · 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, 2023 Filed Dec 9, 2023 00:39 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 10,000 | $35.04 | $350,411.00 |
DisclosureSEC source: 0001628280-23-041173 · wk-form4_1702082342.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · Chief Technology Offier 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 848,063 F1 · kind: 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 May 26, 2023. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.15. 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.