Cassidy Sukhinder Singh - Nov 19, 2021 Form 4 Insider Report for Upstart Holdings, Inc. (UPST)

Role
Director
Signature
/s/ Christopher Ing, by power of attorney
Stock symbol
UPST
Transactions as of
Nov 19, 2021
Transactions value $
-$1,016,750
Form type
4
Date filed
11/23/2021, 03:27 PM
Previous filing
Jun 10, 2021
Next filing
Jan 12, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction UPST Common Stock Options Exercise $42.1K +5K +335.35% $8.41 6.49K Nov 19, 2021 Direct F1
transaction UPST Common Stock Sale -$1.06M -5K -77.03% $211.76* 1.49K Nov 19, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction UPST Stock Option (Right to buy) Options Exercise $0 -5K -3.9% $0.00 123K Nov 19, 2021 Common Stock 5K $8.41 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 This option, originally for 128,295 shares, of which 5,000 shares have been exercised, vested as to one twenty-fourth of the shares subject to the option on April 1, 2020 and one twenty-fourth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.