| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | UPST | Common Stock | Sale | -$793K | -2.45K | -1.37% | $323.99* | 176K | Nov 1, 2021 | Direct | F1, F2, F3, F4 |
| transaction | UPST | Common Stock | Sale | -$65K | -200 | -0.11% | $325.00* | 176K | Nov 1, 2021 | Direct | F1, F3 |
| transaction | UPST | Common Stock | Sale | -$686K | -2.1K | -1.2% | $326.54* | 174K | Nov 1, 2021 | Direct | F1, F3, F5 |
| transaction | UPST | Common Stock | Sale | -$885K | -2.7K | -1.56% | $327.63* | 171K | Nov 1, 2021 | Direct | F1, F3, F6 |
| transaction | UPST | Common Stock | Sale | -$1.48M | -4.5K | -2.63% | $328.65* | 166K | Nov 1, 2021 | Direct | F1, F3, F7 |
| transaction | UPST | Common Stock | Sale | -$1.22M | -3.7K | -2.22% | $329.69* | 163K | Nov 1, 2021 | Direct | F1, F3, F8 |
| transaction | UPST | Common Stock | Sale | -$298K | -900 | -0.55% | $330.83* | 162K | Nov 1, 2021 | Direct | F1, F3, F9 |
| transaction | UPST | Common Stock | Sale | -$1.06M | -3.18K | -1.96% | $332.22* | 159K | Nov 1, 2021 | Direct | F1, F3, F10 |
| transaction | UPST | Common Stock | Sale | -$774K | -2.32K | -1.47% | $333.09* | 156K | Nov 1, 2021 | Direct | F1, F3, F11 |
| transaction | UPST | Common Stock | Sale | -$1.17M | -3.5K | -2.24% | $334.14* | 153K | Nov 1, 2021 | Direct | F1, F3, F12 |
| transaction | UPST | Common Stock | Sale | -$1.54M | -4.59K | -3% | $335.17* | 148K | Nov 1, 2021 | Direct | F1, F3, F13 |
| transaction | UPST | Common Stock | Sale | -$4.65M | -13.8K | -9.34% | $336.19* | 134K | Nov 1, 2021 | Direct | F1, F3, F14 |
| transaction | UPST | Common Stock | Sale | -$4.32M | -12.8K | -9.54% | $337.12* | 122K | Nov 1, 2021 | Direct | F1, F3, F15 |
| transaction | UPST | Common Stock | Sale | -$4.73M | -14K | -11.51% | $338.32* | 108K | Nov 1, 2021 | Direct | F1, F3, F16 |
| transaction | UPST | Common Stock | Sale | -$6.42M | -18.9K | -17.59% | $339.39* | 88.6K | Nov 1, 2021 | Direct | F1, F3, F17 |
| transaction | UPST | Common Stock | Sale | -$6.85M | -20.1K | -22.73% | $340.19* | 68.5K | Nov 1, 2021 | Direct | F1, F3, F18 |
| transaction | UPST | Common Stock | Sale | -$3.24M | -9.5K | -13.88% | $341.22* | 59K | Nov 1, 2021 | Direct | F1, F3, F19 |
| transaction | UPST | Common Stock | Sale | -$1.46M | -4.28K | -7.25% | $342.17* | 54.7K | Nov 1, 2021 | Direct | F1, F3, F20 |
| transaction | UPST | Common Stock | Sale | -$474K | -1.38K | -2.53% | $342.88* | 53.3K | Nov 1, 2021 | Direct | F1, F3, F21 |
| holding | UPST | Common Stock | 200K | Nov 1, 2021 | See Footnote | F22 | |||||
| holding | UPST | Common Stock | 9.22M | Nov 1, 2021 | Indirect | F23, F24 |
| Id | Content |
|---|---|
| F1 | The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 28, 2021. |
| F2 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $323.78 to $324.51. 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 within the ranges set forth in footnote (2), and footnotes (5) through (21) to this Form 4. |
| F3 | 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. |
| F4 | Immediately prior to the sale by the Reporting Person of an aggregate of 125,000 shares of Common Stock, the 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee (the "Girouard Revocable Trust"), transferred 125,000 shares of Common Stock to the Reporting Person. |
| F5 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $326.00 to $326.90. |
| F6 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $327.12 to $328.02. |
| F7 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $328.12 to $329.00. |
| F8 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $329.22 to $330.00. |
| F9 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $330.50 to $331.00. |
| F10 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $331.64 to $332.63. |
| F11 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $332.64 to $333.5350. |
| F12 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $333.68 to $334.67. |
| F13 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $334.73 to $335.72. |
| F14 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $335.75 to $336.73. |
| F15 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $336.75 to $337.72. |
| F16 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $337.75 to $338.72. |
| F17 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $338.78 to $339.77. |
| F18 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $339.78 to $340.77. |
| F19 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $340.81 to $341.7850. |
| F20 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $341.85 to $342.66. |
| F21 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $342.87 to $343.19. |
| F22 | These shares are held by David J. Girouard, as trustee of the Girouard 2020 GRAT, dated October 19, 2020. |
| F23 | Immediately prior to the sale by the Reporting Person of an aggregate of 125,000 shares of Common Stock, the Girouard Revocable Trust transferred 125,000 shares of Common Stock to the Reporting Person. |
| F24 | These shares are held by the Girouard Revocable Trust. |
Due to a 30 line item limitation in Table I, this is the first of two Forms 4 filed by Dave Girouard