| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | UPST | Common Stock | Options Exercise | $17.5K | +117K | +45.76% | $0.15* | 372K | Aug 16, 2021 | Direct | F1, F2 |
| transaction | UPST | Common Stock | Options Exercise | $8.77K | +38.1K | +10.24% | $0.23* | 410K | Aug 16, 2021 | Direct | F1, F2 |
| transaction | UPST | Common Stock | Sale | -$94.6K | -500 | -0.12% | $189.29* | 410K | Aug 16, 2021 | Direct | F1, F2, F3 |
| transaction | UPST | Common Stock | Sale | -$267K | -1.4K | -0.34% | $190.36* | 409K | Aug 16, 2021 | Direct | F1, F2, F4 |
| transaction | UPST | Common Stock | Sale | -$287K | -1.5K | -0.37% | $191.49* | 407K | Aug 16, 2021 | Direct | F1, F2, F5 |
| transaction | UPST | Common Stock | Sale | -$154K | -800 | -0.2% | $192.29* | 406K | Aug 16, 2021 | Direct | F1, F2, F6 |
| transaction | UPST | Common Stock | Sale | -$174K | -900 | -0.22% | $193.45* | 405K | Aug 16, 2021 | Direct | F1, F2, F7 |
| transaction | UPST | Common Stock | Sale | -$545K | -2.8K | -0.69% | $194.48* | 403K | Aug 16, 2021 | Direct | F1, F2, F8 |
| transaction | UPST | Common Stock | Sale | -$1.95M | -9.98K | -2.48% | $195.42* | 393K | Aug 16, 2021 | Direct | F1, F2, F9 |
| transaction | UPST | Common Stock | Sale | -$2.6M | -13.2K | -3.37% | $196.46* | 379K | Aug 16, 2021 | Direct | F1, F2, F10 |
| transaction | UPST | Common Stock | Sale | -$1.72M | -8.7K | -2.29% | $197.35* | 371K | Aug 16, 2021 | Direct | F1, F2, F11 |
| transaction | UPST | Common Stock | Sale | -$1.03M | -5.2K | -1.4% | $198.51* | 365K | Aug 16, 2021 | Direct | F1, F2, F12 |
| transaction | UPST | Common Stock | Sale | -$2.34M | -11.7K | -3.2% | $199.58* | 354K | Aug 16, 2021 | Direct | F1, F2, F13 |
| transaction | UPST | Common Stock | Sale | -$2.92M | -14.6K | -4.12% | $200.51* | 339K | Aug 16, 2021 | Direct | F1, F2, F14 |
| transaction | UPST | Common Stock | Sale | -$2.35M | -11.7K | -3.44% | $201.50* | 327K | Aug 16, 2021 | Direct | F1, F2, F15 |
| transaction | UPST | Common Stock | Sale | -$1.99M | -9.8K | -2.99% | $202.56* | 318K | Aug 16, 2021 | Direct | F1, F2, F16 |
| transaction | UPST | Common Stock | Sale | -$2.07M | -10.2K | -3.2% | $203.58* | 308K | Aug 16, 2021 | Direct | F1, F2, F17 |
| transaction | UPST | Common Stock | Sale | -$3.3M | -16.1K | -5.24% | $204.51* | 291K | Aug 16, 2021 | Direct | F1, F2, F18 |
| transaction | UPST | Common Stock | Sale | -$1.05M | -5.1K | -1.75% | $205.48* | 286K | Aug 16, 2021 | Direct | F1, F2, F19 |
| transaction | UPST | Common Stock | Sale | -$702K | -3.4K | -1.19% | $206.47* | 283K | Aug 16, 2021 | Direct | F1, F2, F20 |
| transaction | UPST | Common Stock | Sale | -$456K | -2.2K | -0.78% | $207.48* | 281K | Aug 16, 2021 | Direct | F1, F2, F21 |
| transaction | UPST | Common Stock | Sale | -$730K | -3.5K | -1.25% | $208.64* | 277K | Aug 16, 2021 | Direct | F1, F2, F22 |
| transaction | UPST | Common Stock | Sale | -$2.26M | -10.8K | -3.89% | $209.86* | 266K | Aug 16, 2021 | Direct | F1, F2, F23 |
| transaction | UPST | Common Stock | Sale | -$2M | -9.51K | -3.57% | $210.34* | 257K | Aug 16, 2021 | Direct | F1, F2, F24 |
| transaction | UPST | Common Stock | Sale | -$212K | -1K | -0.39% | $211.65* | 256K | Aug 16, 2021 | Direct | F1, F2, F25 |
| transaction | UPST | Common Stock | Sale | -$85.1K | -400 | -0.16% | $212.84* | 256K | Aug 16, 2021 | Direct | F1, F2, F26 |
| transaction | UPST | Common Stock | Sale | -$22.7K | -106 | -0.04% | $213.82* | 255K | Aug 16, 2021 | Direct | F1, F2, F27 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | UPST | Employee Stock Option (Right to buy) | Options Exercise | $0 | -117K | -100% | $0.00* | 0 | Aug 16, 2021 | Common Stock | 117K | $0.15 | Direct | F1, F28 |
| transaction | UPST | Employee Stock Option (Right to buy) | Options Exercise | $0 | -38.1K | -12.71% | $0.00 | 262K | Aug 16, 2021 | Common Stock | 38.1K | $0.23 | Direct | F1, F28 |
| Id | Content |
|---|---|
| F1 | The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 27, 2021. |
| F2 | 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. |
| F3 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $188.81 to $189.50. 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 footnotes (3) through (27) to this Form 4. |
| F4 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $189.90 to $190.88. |
| F5 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $190.90 to $191.88. |
| F6 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $191.96 to $192.73. |
| F7 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $192.96 to $193.91. |
| F8 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $193.96 to $194.95. |
| F9 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $194.96 to $195.95. |
| F10 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $195.97 to $196.95. |
| F11 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $196.99 to $197.98. |
| F12 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $198.00 to $198.99. |
| F13 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $199.00 to $199.99. |
| F14 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.00 to $200.99. |
| F15 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.00 to $201.99. |
| F16 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $202.00 to $202.97. |
| F17 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $203.00 to $203.99. |
| F18 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $204.00 to $204.99. |
| F19 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $205.00 to $205.99. |
| F20 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $206.00 to $206.99. |
| F21 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $207.00 to $207.96. |
| F22 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $208.02 to $209.00. |
| F23 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $209.06 to $210.05. |
| F24 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $210.07 to $211.06. |
| F25 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $211.19 to $212.00. |
| F26 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $212.34 to $213.32. |
| F27 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $213.62 to $213.83. |
| F28 | All of the shares subject to this option are fully vested and exercisable as of the date hereof. |