-
Signature
-
/s/ Christopher Ing, by power of attorney
-
Issuer symbol
-
UPST
-
Transactions as of
-
29 Aug 2024
-
Net transactions value
-
-$89,140
-
Form type
-
4
-
Filing time
-
03 Sep 2024, 16:16:12 UTC
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
UPST |
Common Stock |
Options Exercise |
$860 |
+2,000 |
+8.9% |
$0.4300 |
24,477 |
29 Aug 2024 |
Direct |
F1, F2 |
| transaction |
UPST |
Common Stock |
Sale |
$90,000 |
-2,000 |
-8.2% |
$45.00 |
22,477 |
29 Aug 2024 |
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 |
Employee Stock Option (Right to buy) |
Options Exercise |
$0 |
-2,000 |
-100% |
$0.000000 |
0 |
29 Aug 2024 |
Common Stock |
2,000 |
$0.4300 |
Direct |
F1, F3 |
* An asterisk sign (*) next to the price indicates that the price is likely invalid.
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
Explanation of Responses: