Upstart Holdings, Inc. — Director's Dealing 2021

Sep 18, 2021

SEC Form 4/A — Form 4/A

Issuer: Upstart Holdings, Inc. (UPST)
CIK: 0001647639
Period of Report: 2021-08-20

Reporting Person: Mirgorodskaya Natalia (Corporate Controller)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-08-31	Common Stock	S	234	$223.0415	Disposed	23007	Direct

Footnotes

F1: These shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units (RSUs).

F2: The original Form 4 filed August 24, 2021 is amended to reflect (i) the stock sale occurred on August 31, 2021, not August 20, 2021, (ii) that 234 shares, not 267 shares, were sold, and (iii) the actual sale price of the shares.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.0101 to $223.07. 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.

F4: Includes 1,637 shares acquired on August 18, 2021 under the Issuer's 2020 Employee Stock Purchase Plan.

F5: Certain of these securities are 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.