Natalia Mirgorodskaya - Aug 20, 2021 Form 4/A - Amendment Insider Report for Upstart Holdings, Inc. (UPST)

Role
Corporate Controller
Signature
/s/ Christopher Ing, by power of attorney
Stock symbol
UPST
Transactions as of
Aug 20, 2021
Transactions value $
-$52,192
Form type
4/A - Amendment
Date filed
9/17/2021, 09:58 PM
Date Of Original Report
Aug 24, 2021
Previous filing
Aug 16, 2021
Next filing
Sep 17, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction UPST Common Stock Sale -$52.2K -234 -1.01% $223.04* 23K Aug 31, 2021 Direct F1, F2, F3, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.