-
Signature
-
/s/ Jessica Jeong, by power of attorney
-
Issuer symbol
-
UPST
-
Transactions as of
-
11 Jun 2025
-
Net transactions value
-
-$180,000
-
Form type
-
4
-
Filing time
-
13 Jun 2025, 17:30:35 UTC
Reporting Owners (1)
| Name |
Relationship |
Address |
Signature |
Signature date |
CIK |
| Darling Scott |
Chief Legal Officer |
C/O UPSTART HOLDINGS, INC., 2950 S. DELAWARE STREET, SUITE 410, SAN MATEO |
/s/ Jessica Jeong, by power of attorney |
13 Jun 2025 |
0001558259 |
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
UPST |
Common Stock |
Options Exercise |
$39,660 |
+3,000 |
+2.2% |
$13.22 |
140,014 |
11 Jun 2025 |
Direct |
F1, F2 |
| transaction |
UPST |
Common Stock |
Sale |
$180,000 |
-3,000 |
-2.1% |
$60.00 |
137,014 |
11 Jun 2025 |
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 |
$39,660 |
-3,000 |
-1.3% |
$13.22 |
220,527 |
11 Jun 2025 |
Common Stock |
3,000 |
$13.22 |
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: