Upstart Holdings, Inc. — Director's Dealing 2020

Dec 17, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Upstart Holdings, Inc. (UPST)
CIK: 0001647639
Period of Report: 2020-12-15

Reporting Person: Gu Paul (Director, SVP, Product and Data Science)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-15	Common Stock	M	210000	$0.15	Acquired	410000	Direct
2020-12-15	Common Stock	M	3124	$0.15	Acquired	413124	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-15	Employee Stock Option (Right to buy)	$0.15	M	210000	Disposed	2022-05-11	Common Stock (210000)	Direct
2020-12-15	Employee Stock Option (Right to buy)	$0.15	M	3124	Disposed	2022-08-21	Common Stock (3124)	Direct

Footnotes

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