Upstart Holdings, Inc. — Director's Dealing 2021

Nov 12, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Upstart Holdings, Inc. (UPST)
CIK: 0001647639
Period of Report: 2021-11-09

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-09	Common Stock	M	25000	$1.35	Acquired	342412	Direct
2021-11-10	Common Stock	M	25000	$1.35	Acquired	367412	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-11-09	Employee Stock Option (Right to buy)	$1.35	M	25000	Disposed	2027-01-09	Common Stock (25000.0)	Direct
2021-11-10	Employee Stock Option (Right to buy)	$1.35	M	25000	Disposed	2027-01-09	Common Stock (25000.0)	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: All of the shares subject to this option are fully vested and exercisable as of the date hereof.