Upstart Holdings, Inc. — Director's Dealing 2021

Oct 6, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Upstart Holdings, Inc. (UPST)
CIK: 0001647639
Period of Report: 2021-10-01

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-10-01	Common Stock	S	728	$305.5352	Disposed	993023	Indirect
2021-10-01	Common Stock	S	701	$306.5224	Disposed	992322	Indirect
2021-10-01	Common Stock	S	1310	$307.5742	Disposed	991012	Indirect
2021-10-01	Common Stock	S	700	$308.5629	Disposed	990312	Indirect
2021-10-01	Common Stock	S	900	$309.6213	Disposed	989412	Indirect
2021-10-01	Common Stock	S	200	$310.585	Disposed	989212	Indirect
2021-10-01	Common Stock	S	1010	$312.1355	Disposed	988202	Indirect
2021-10-01	Common Stock	S	700	$313.3743	Disposed	987502	Indirect
2021-10-01	Common Stock	S	727	$305.5262	Disposed	993024	Indirect
2021-10-01	Common Stock	S	800	$306.4816	Disposed	992224	Indirect
2021-10-01	Common Stock	S	1212	$307.5893	Disposed	991012	Indirect
2021-10-01	Common Stock	S	700	$308.5571	Disposed	990312	Indirect
2021-10-01	Common Stock	S	900	$309.615	Disposed	989412	Indirect
2021-10-01	Common Stock	S	200	$310.585	Disposed	989212	Indirect
2021-10-01	Common Stock	S	1010	$312.1306	Disposed	988202	Indirect
2021-10-01	Common Stock	S	700	$313.3537	Disposed	987502	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 JRG 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 $305.03 to $306.00. 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 (10), footnote (12), and footnotes (14) through (20) to this Form 4.

F3: These shares are held by Tristen Baird Willard, as trustee of the JRG 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 $306.07 to $307.02.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $307.11 to $308.07.

F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $308.11 to $308.99.

F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $309.26 to $310.00.

F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $310.38 to $310.79.

F9: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $311.79 to $312.75.

F10: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $313.00 to $313.99.

F11: 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.

F12: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $305.03 to $306.00.

F13: These shares are held by Tristen Baird Willard, as trustee of the TMG 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 $306.07 to $307.02.

F15: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $307.11 to $308.07.

F16: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $308.11 to $308.99.

F17: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $309.26 to $310.00.

F18: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $310.38 to $310.79.

F19: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $311.79 to $312.75.

F20: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $313.00 to $313.99.