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 |
|---|---|---|---|---|---|---|
| July 14, 2021 Filed Jul 15, 2021 20:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 10,000 | $0.00 Strike: $2.15 | $0.00 |
DisclosureSEC source: 0001209191-21-046778 · doc4.xml · derivative · entry 2 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,000 Underlying: Common Stock · 10,000 shares Expires 2027-12-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: This option, originally for 200,000 shares, of which 30,000 shares have been exercised, vested as to one forty-eighth of the shares on February 1, 2018 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| July 14, 2021 Filed Jul 15, 2021 20:10 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 10,000 | $2.15 | $21,500.00 |
DisclosureSEC source: 0001209191-21-046778 · doc4.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,412 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 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 13, 2021 Filed Jul 14, 2021 20:40 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 10,000 | $0.00 Strike: $2.15 | $0.00 |
DisclosureSEC source: 0001209191-21-046675 · doc4.xml · derivative · entry 2 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,000 Underlying: Common Stock · 10,000 shares Expires 2027-12-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: This option, originally for 200,000 shares, of which 20,000 shares have been exercised, vested as to one forty-eighth of the shares on February 1, 2018 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| July 13, 2021 Filed Jul 14, 2021 20:40 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 10,000 | $2.15 | $21,500.00 |
DisclosureSEC source: 0001209191-21-046675 · doc4.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245,412 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 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 20, 2021 Filed Mar 23, 2021 22:18 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | GrantEmployee Stock Option (Right to buy) · Derivative | 50,824 | $0.00 Strike: $125.28 | $0.00 |
DisclosureSEC source: 0001209191-21-022654 · doc4.xml · derivative · entry 2 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,824 Underlying: Common Stock · 50,824 shares Expires 2031-03-20 F3 · derivative.exercise_date: 1/14th of the shares subject to the option shall vest on January 20, 2023 and each one-month anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| March 20, 2021 Filed Mar 23, 2021 22:18 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | GrantCommon Stock | 25,412 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-022654 · doc4.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,412 F1 · shares: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 20% of the RSUs shall vest on February 20, 2023 and each three-month anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. 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 |
| March 05, 2021 Filed Mar 9, 2021 21:12 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 10,000 | $0.00 Strike: $2.15 | $0.00 |
DisclosureSEC source: 0001209191-21-018947 · doc4.xml · derivative · entry 2 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,000 Underlying: Common Stock · 10,000 shares Expires 2027-12-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: This option, originally for 200,000 shares, of which 10,000 shares have been exercised, vested as to one forty-eighth of the shares on February 1, 2018 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:12 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 10,000 | $2.15 | $21,500.00 |
DisclosureSEC source: 0001209191-21-018947 · doc4.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 18, 2020 Filed Dec 21, 2020 22:36 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | SaleCommon Stock | 213,124 | $18.60 | $3,964,106.40 |
DisclosureSEC source: 0001209191-20-064688 · doc4.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 F1 · price: Represents the sale price to the underwriters in the Issuer's initial public offering of $18.60 per share. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 22:02 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 3,124 | $0.00 Strike: $0.15 | $0.00 |
DisclosureSEC source: 0001209191-20-064106 · doc4.xml · derivative · entry 4 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,876 Underlying: Common Stock · 3,124 shares Expires 2022-08-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 22:02 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionEmployee Stock Option (Right to buy) · Derivative | 210,000 | $0.00 Strike: $0.15 | $0.00 |
DisclosureSEC source: 0001209191-20-064106 · doc4.xml · derivative · entry 3 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 210,000 shares Expires 2022-05-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: All of the shares subject to this option are fully vested and exercisable as of the date hereof. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 22:02 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 3,124 | $0.15 | $468.60 |
DisclosureSEC source: 0001209191-20-064106 · doc4.xml · nonDerivative · entry 2 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 413,124 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 22:02 UTC | Upstart Holdings, Inc. UPST · Entity 4306 | Exercise / conversionCommon Stock | 210,000 | $0.15 | $31,500.00 |
DisclosureSEC source: 0001209191-20-064106 · doc4.xml · nonDerivative · entry 1 Gu Paul · CIK 0001832812 · Director · SVP, Product and Data Science 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 410,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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.