Upstart Holdings, Inc. — Director's Dealing 2021

Nov 23, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Upstart Holdings, Inc. (UPST)
CIK: 0001647639
Period of Report: 2021-11-19

Reporting Person: Singh Cassidy Sukhinder (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-19	Common Stock	M	5000	$8.41	Acquired	6491	Direct
2021-11-19	Common Stock	S	5000	$211.76	Disposed	1491	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-11-19	Stock Option (Right to buy)	$8.41	M	5000	Disposed	2030-04-16	Common Stock (5000.0)	Direct

Footnotes

F1: 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.

F2: This option, originally for 128,295 shares, of which 5,000 shares have been exercised, vested as to one twenty-fourth of the shares subject to the option on April 1, 2020 and one twenty-fourth 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.