Upstart Holdings, Inc. — Director's Dealing 2021

Mar 23, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Upstart Holdings, Inc. (UPST)
CIK: 0001647639
Period of Report: 2021-03-20

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-20	Common Stock	A	25412	$0.00	Acquired	235412	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-20	Employee Stock Option (Right to buy)	$125.28	A	50824	Acquired	2031-03-20	Common Stock (50824)	Direct

Footnotes

F1: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 20% of the RSUs shall vest on February 20, 2023 and each three-month anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

F2: 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.

F3: 1/14th of the shares subject to the option shall vest on January 20, 2023 and each one-month anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.