Upstart Holdings, Inc. — Director's Dealing 2021

Nov 3, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Upstart Holdings, Inc. (UPST)
CIK: 0001647639
Period of Report: 2021-11-01

Reporting Person: Girouard Dave (Director, Chief Executive Officer, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-01	Common Stock	S	679	$323.9454	Disposed	986823	Indirect
2021-11-01	Common Stock	S	500	$326.124	Disposed	986323	Indirect
2021-11-01	Common Stock	S	1000	$327.393	Disposed	985323	Indirect
2021-11-01	Common Stock	S	900	$328.5922	Disposed	984423	Indirect
2021-11-01	Common Stock	S	900	$329.9244	Disposed	983523	Indirect
2021-11-01	Common Stock	S	200	$331.59	Disposed	983323	Indirect
2021-11-01	Common Stock	S	200	$332.73	Disposed	983123	Indirect
2021-11-01	Common Stock	S	570	$333.7656	Disposed	982553	Indirect
2021-11-01	Common Stock	S	1000	$335.2883	Disposed	981553	Indirect
2021-11-01	Common Stock	S	300	$336.135	Disposed	981253	Indirect
2021-11-01	Common Stock	S	679	$324.0326	Disposed	986823	Indirect
2021-11-01	Common Stock	S	500	$326.124	Disposed	986323	Indirect
2021-11-01	Common Stock	S	1000	$327.393	Disposed	985323	Indirect
2021-11-01	Common Stock	S	900	$328.5922	Disposed	984423	Indirect
2021-11-01	Common Stock	S	900	$329.9211	Disposed	983523	Indirect
2021-11-01	Common Stock	S	200	$331.59	Disposed	983323	Indirect
2021-11-01	Common Stock	S	200	$332.7175	Disposed	983123	Indirect
2021-11-01	Common Stock	S	665	$333.7871	Disposed	982458	Indirect
2021-11-01	Common Stock	S	1005	$335.335	Disposed	981453	Indirect
2021-11-01	Common Stock	S	200	$336.1925	Disposed	981253	Indirect

Footnotes

F1: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on May 28, 2021 by the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $323.78 to $324.50. 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 footnote (2), footnotes (4) through (12), footnote (14), and footnotes (16) through (20) to this Form 4.

F3: These shares are held by Tristen Baird Willard, as trustee of the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $326.00 to $326.22.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $327.04 to $328.02.

F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $328.12 to $329.00.

F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $329.37 to $330.05.

F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $331.18 to $332.00.

F9: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $332.25 to $333.21.

F10: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $333.42 to $334.28.

F11: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $334.85 to $335.80.

F12: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $336.02 to $336.25.

F13: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on May 28, 2021 by the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.

F14: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $323.78 to $324.50.

F15: These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.

F16: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $328.128 to $329.00.

F17: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $331.18 to $322.00.

F18: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $332.25 to $333.185.

F19: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $333.42 to $334.09.

F20: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $336.045 to $336.34.