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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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Dec 2, 2024
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Transactions value $
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-$5,975,974
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Form type
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4
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Date filed
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12/4/2024, 04:10 PM
Transactions Table
Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
transaction |
UPST |
Common Stock |
Options Exercise |
$102K |
+87.6K |
+10.15% |
$1.17 |
951K |
Dec 2, 2024 |
Direct |
F1, F2 |
transaction |
UPST |
Common Stock |
Sale |
-$1.18M |
-17.5K |
-1.84% |
$67.70 |
933K |
Dec 2, 2024 |
Direct |
F1, F3 |
transaction |
UPST |
Common Stock |
Sale |
-$1.58M |
-23.1K |
-2.48% |
$68.52 |
910K |
Dec 2, 2024 |
Direct |
F1, F4 |
transaction |
UPST |
Common Stock |
Sale |
-$1.22M |
-17.6K |
-1.94% |
$69.49 |
892K |
Dec 2, 2024 |
Direct |
F1, F5 |
transaction |
UPST |
Common Stock |
Sale |
-$1.48M |
-21K |
-2.36% |
$70.41 |
871K |
Dec 2, 2024 |
Direct |
F1, F6 |
transaction |
UPST |
Common Stock |
Sale |
-$412K |
-5.78K |
-0.66% |
$71.26 |
866K |
Dec 2, 2024 |
Direct |
F1, F7 |
transaction |
UPST |
Common Stock |
Sale |
-$196K |
-2.6K |
-0.3% |
$75.26 |
863K |
Dec 2, 2024 |
Direct |
F1, F8 |
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 |
-87.6K |
-54.75% |
$0.00 |
72.4K |
Dec 2, 2024 |
Common Stock |
87.6K |
$1.17 |
Direct |
F1, F9 |
* 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: