-
Signature
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/s/ Gabrielle Brown, by power of attorney
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Stock symbol
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UPST
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Transactions as of
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Nov 15, 2024
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Transactions value $
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-$2,690,840
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Form type
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4
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Date filed
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11/19/2024, 04:13 PM
Transactions Table
Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
transaction |
UPST |
Common Stock |
Options Exercise |
$34.6K |
+41.7K |
+67.74% |
$0.83 |
103K |
Nov 15, 2024 |
Direct |
F1, F2 |
transaction |
UPST |
Common Stock |
Sale |
-$1.85M |
-28.5K |
-27.61% |
$64.97 |
74.7K |
Nov 15, 2024 |
Direct |
F1, F2, F3 |
transaction |
UPST |
Common Stock |
Sale |
-$565K |
-8.55K |
-11.45% |
$66.06 |
66.1K |
Nov 15, 2024 |
Direct |
F1, F2, F4 |
transaction |
UPST |
Common Stock |
Sale |
-$310K |
-4.63K |
-7% |
$66.94 |
61.5K |
Nov 15, 2024 |
Direct |
F1, F2, F5 |
holding |
UPST |
Common Stock |
|
|
|
|
|
8.34M |
Nov 15, 2024 |
See Footnote |
F6 |
holding |
UPST |
Common Stock |
|
|
|
|
|
1M |
Nov 15, 2024 |
See Footnote |
F7 |
holding |
UPST |
Common Stock |
|
|
|
|
|
547K |
Nov 15, 2024 |
See Footnote |
F8 |
holding |
UPST |
Common Stock |
|
|
|
|
|
547K |
Nov 15, 2024 |
See Footnote |
F9 |
holding |
UPST |
Common Stock |
|
|
|
|
|
126K |
Nov 15, 2024 |
See Footnote |
F10 |
holding |
UPST |
Common Stock |
|
|
|
|
|
126K |
Nov 15, 2024 |
See Footnote |
F11 |
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 |
-41.7K |
-3.44% |
$0.00 |
1.17M |
Nov 15, 2024 |
Common Stock |
41.7K |
$0.83 |
Direct |
F1, F12 |
* 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: