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 |
|---|---|---|---|---|---|---|
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 3,476 | $250.30 | $870,042.80 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 19 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 425,259 F2 · 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 27, 2021 (the "10b5-1 Plan"). F17 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $249.84 to $250.83. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,325 | $249.37 | $330,415.25 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 18 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 428,735 F2 · 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 27, 2021 (the "10b5-1 Plan"). F16 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $248.84 to $249.82. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 3,100 | $248.08 | $769,048.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 17 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,060 F2 · 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 27, 2021 (the "10b5-1 Plan"). F15 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $247.67 to $248.59. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 2,100 | $247.00 | $518,700.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 16 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 433,160 F2 · 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 27, 2021 (the "10b5-1 Plan"). F14 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $246.59 to $247.50. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 2,100 | $246.07 | $516,747.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 15 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 435,260 F2 · 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 27, 2021 (the "10b5-1 Plan"). F13 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $245.55 to $246.50. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 800 | $243.99 | $195,192.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 14 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 437,360 F2 · 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 27, 2021 (the "10b5-1 Plan"). F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $243.59 to $244.43. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,100 | $242.84 | $267,124.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 13 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,160 F2 · 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 27, 2021 (the "10b5-1 Plan"). F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $242.48 to $243.35. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 2,900 | $241.85 | $701,365.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 12 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 439,260 F2 · 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 27, 2021 (the "10b5-1 Plan"). F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $241.45 to $242.33. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,900 | $240.89 | $457,691.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 11 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 442,160 F2 · 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 27, 2021 (the "10b5-1 Plan"). F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $240.44 to $241.35. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 4,100 | $239.74 | $982,934.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 10 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 444,060 F2 · 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 27, 2021 (the "10b5-1 Plan"). F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $239.40 to $240.32. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 3,300 | $238.89 | $788,337.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 9 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 448,160 F2 · 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 27, 2021 (the "10b5-1 Plan"). F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $238.35 to $239.31. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 700 | $237.72 | $166,404.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 8 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 451,460 F2 · 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 27, 2021 (the "10b5-1 Plan"). F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $237.23 to $238.11. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 200 | $235.80 | $47,160.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 7 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 452,160 F2 · 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 27, 2021 (the "10b5-1 Plan"). 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 800 | $235.21 | $188,168.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 6 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 452,360 F2 · 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 27, 2021 (the "10b5-1 Plan"). F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $234.80 to $235.72. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 2,400 | $234.10 | $561,840.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 5 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 453,160 F2 · 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 27, 2021 (the "10b5-1 Plan"). F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $233.74 to $234.67. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 852 | $233.24 | $198,720.48 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 4 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 455,560 F2 · 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 27, 2021 (the "10b5-1 Plan"). F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $232.74 to $233.70. 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 (25) to this Form 4. 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 39,000 | $0.43 | $16,770.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 3 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 456,412 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 · 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 27, 2021 (the "10b5-1 Plan"). 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 10,000 | $2.15 | $21,500.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 417,412 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 |
| November 15, 2021 Filed Nov 18, 2021 00:54 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 40,000 | $1.35 | $54,000.00 |
DisclosureSEC source: 0001832812-21-000008 · wf-form4_163719682383001.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 407,412 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 |
| November 10, 2021 Filed Nov 12, 2021 21:06 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 25,000 | $0.00 Strike: $1.35 | $0.00 |
DisclosureSEC source: 0001832812-21-000006 · wf-form4_163675111847197.xml · derivative · entry 4 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 25,000 shares Expires 2027-01-09 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 |
| November 10, 2021 Filed Nov 12, 2021 21:06 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 25,000 | $1.35 | $33,750.00 |
DisclosureSEC source: 0001832812-21-000006 · wf-form4_163675111847197.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,412 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 |
| November 09, 2021 Filed Nov 12, 2021 21:06 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 25,000 | $0.00 Strike: $1.35 | $0.00 |
DisclosureSEC source: 0001832812-21-000006 · wf-form4_163675111847197.xml · derivative · entry 3 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock · 25,000 shares Expires 2027-01-09 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 |
| November 09, 2021 Filed Nov 12, 2021 21:06 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 25,000 | $1.35 | $33,750.00 |
DisclosureSEC source: 0001832812-21-000006 · wf-form4_163675111847197.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 342,412 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 |
| October 27, 2021 Filed Oct 29, 2021 22:20 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 20,000 | $0.00 Strike: $1.35 | $0.00 |
DisclosureSEC source: 0001832812-21-000004 · wf-form4_163554601580311.xml · derivative · entry 2 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 20,000 shares Expires 2027-01-09 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: This option, originally for 250,000 shares, of which 160,000 shares have been exercised, vested as to one forty-eighth of the shares on February 1, 2017 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| October 27, 2021 Filed Oct 29, 2021 22:20 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 20,000 | $1.35 | $27,000.00 |
DisclosureSEC source: 0001832812-21-000004 · wf-form4_163554601580311.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 317,412 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 |
| October 26, 2021 Filed Oct 28, 2021 20:53 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 20,000 | $0.00 Strike: $1.35 | $0.00 |
DisclosureSEC source: 0001832812-21-000002 · wf-form4_163545437798391.xml · derivative · entry 2 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,000 Underlying: Common Stock · 20,000 shares Expires 2027-01-09 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: This option, originally for 250,000 shares, of which 140,000 shares have been exercised, vested as to one forty-eighth of the shares on February 1, 2017 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 20:53 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 20,000 | $1.35 | $27,000.00 |
DisclosureSEC source: 0001832812-21-000002 · wf-form4_163545437798391.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,412 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 48,124 | $0.00 Strike: $0.43 | $0.00 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · derivative · entry 24 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,876 Underlying: Common Stock · 48,124 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 27, 2021. F23 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 106,876 | $0.00 Strike: $0.23 | $0.00 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · derivative · entry 23 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 106,876 shares Expires 2023-05-23 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 27, 2021. F23 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 300 | $401.16 | $120,347.01 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 22 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 277,412 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 27, 2021. F22 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $400.80 to $401.44. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,000 | $399.86 | $399,864.00 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 21 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 277,712 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 27, 2021. F21 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $399.67 to $400.30. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,900 | $399.06 | $758,216.09 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 20 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 278,712 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 27, 2021. F20 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $398.65 to $399.62. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 6,200 | $398.10 | $2,468,192.72 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 19 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,612 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 27, 2021. F19 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $397.63 to $398.62. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 7,200 | $397.03 | $2,858,626.80 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 18 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,812 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 27, 2021. F18 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $396.54 to $397.51. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 6,900 | $395.99 | $2,732,353.77 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 17 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,012 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 27, 2021. F17 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $395.51 to $396.50. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 9,400 | $394.95 | $3,712,542.22 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 16 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,912 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 27, 2021. F16 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $394.50 to $395.49. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 10,029 | $394.02 | $3,951,656.67 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 15 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 310,312 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 27, 2021. F15 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $393.50 to $394.49. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 12,200 | $392.93 | $4,793,739.90 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 14 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,341 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 27, 2021. F14 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $392.50 to $393.49. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 10,400 | $392.07 | $4,077,571.68 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 13 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 332,541 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 27, 2021. F13 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $391.50 to $392.49. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 5,500 | $390.90 | $2,149,959.35 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 12 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 342,941 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 27, 2021. F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $390.50 to $391.49. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 11,511 | $389.93 | $4,488,432.43 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 11 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 348,441 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 27, 2021. F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $389.50 to $390.49. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 18,462 | $388.93 | $7,180,493.97 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 10 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 359,952 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 27, 2021. F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $388.50 to $389.49. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 17,461 | $388.04 | $6,775,578.66 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 9 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 378,414 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 27, 2021. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $387.50 to $388.49. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 14,553 | $386.97 | $5,631,538.03 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 8 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 395,875 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 27, 2021. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $386.50 to $387.48. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 12,184 | $386.10 | $4,704,232.65 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 7 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 410,428 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 27, 2021. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $385.50 to $386.49. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 3,200 | $384.96 | $1,231,871.04 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 6 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 422,612 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 27, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $384.50 to $385.415. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 2,200 | $383.83 | $844,426.00 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 5 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 425,812 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 27, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $383.45 to $384.23. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 3,100 | $382.86 | $1,186,875.92 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 4 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 428,012 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 27, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $382.37 to $383.33. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 1,300 | $381.90 | $496,466.62 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 3 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 431,112 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 27, 2021. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $381.32 to $382.30. 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 (22) to this Form 4. 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 |
| October 15, 2021 Filed Oct 19, 2021 22:25 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 48,124 | $0.43 | $20,693.32 |
DisclosureSEC source: 0001209191-21-060995 · doc4.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 432,412 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 27, 2021. 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.