Scott Darling - 27 Nov 2023 Form 4 Insider Report for Upstart Holdings, Inc. (UPST)

Reporting relationship: Chief Legal Officer
Issuer ticker: UPST
Reported as of: 27 Nov 2023
Net transaction value: -$25,245
SEC form: 4
Accepted by SEC: 29 Nov 2023, 16:48:51 UTC
Prior SEC filing: 22 Nov 2023
Next SEC filing: 08 Dec 2023
Source filing: View source filing
Reporting owner signature: /s/ Christopher Ing, by power of attorney

Key filing fact

Scott Darling filed Form 4 for Upstart Holdings, Inc. (UPST) on 29 Nov 2023.

Key facts

This page summarizes Scott Darling's Form 4 filing for Upstart Holdings, Inc. (UPST).
2 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 29 Nov 2023, 16:48.

Change

Previous filing in this sequence was filed on 22 Nov 2023.
Current net transaction value: -$25,245.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

UPST transaction

Common Stock

Sale

Transaction value: $5,004
Shares: -200
Change %: -0.11%
Price: $25.02
Shares after: 176,327
Date: 27 Nov 2023
Ownership: Direct
Footnotes: F1, F2

UPST transaction

Common Stock

Sale

Transaction value: $20,241
Shares: -800
Change %: -0.45%
Price: $25.30
Shares after: 175,527
Date: 28 Nov 2023
Ownership: Direct
Footnotes: F1, F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Rule 10b5-1 trading plan

These transactions were reported as open-market trades under a Rule 10b5-1 plan. The plan lets an insider set trading instructions in advance, which can reduce the risk of trading while in possession of material nonpublic information.

Original filing language: transaction made pursuant to a contract, instruction, or written plan intended to satisfy Rule 10b5-1(c).

Explanation of responses 3 footnotes

Footnote F1

The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 30, 2023.

Footnote 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.

Footnote F3

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.01 to $25.84. 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.