0001628280-23-030558.txt : 20230824
0001628280-23-030558.hdr.sgml : 20230824
20230824185900
ACCESSION NUMBER: 0001628280-23-030558
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230822
FILED AS OF DATE: 20230824
DATE AS OF CHANGE: 20230824
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Girouard Dave
CENTRAL INDEX KEY: 0001832805
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39797
FILM NUMBER: 231203390
MAIL ADDRESS:
STREET 1: C/O UPSTART HOLDINGS, INC.
STREET 2: 2950 S. DELAWARE STREET, SUITE 300
CITY: SAN MATEO
STATE: CA
ZIP: 94403
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Upstart Holdings, Inc.
CENTRAL INDEX KEY: 0001647639
STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199]
IRS NUMBER: 464332431
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2950 S. DELAWARE STREET, SUITE 300
CITY: SAN MATEO
STATE: CA
ZIP: 94403
BUSINESS PHONE: (650) 204-1000
MAIL ADDRESS:
STREET 1: 2950 S. DELAWARE STREET, SUITE 300
CITY: SAN MATEO
STATE: CA
ZIP: 94403
4
1
wk-form4_1692917929.xml
FORM 4
X0508
4
2023-08-22
0
0001647639
Upstart Holdings, Inc.
UPST
0001832805
Girouard Dave
C/O UPSTART HOLDINGS, INC.
2950 S. DELAWARE STREET, SUITE 300
SAN MATEO
CA
94403
1
1
1
0
Chief Executive Officer
0
Common Stock
2023-08-22
4
S
0
3420
32.6104
D
76493
D
Common Stock
2023-08-22
4
S
0
200
33.2163
D
76293
D
Common Stock
8342701
I
See Footnote
Common Stock
1000000
I
See Footnote
Common Stock
546501
I
See Footnote
Common Stock
546501
I
See Footnote
Common Stock
126057
I
See Footnote
Common Stock
126057
I
See Footnote
These shares were sold to cover tax withholding obligations in connection with the vesting of Restricted Stock Unites (RSUs).
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.14 to $33.135. 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.
Certain of these securities are 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.205 to $33.23. 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.
These shares are held by 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee.
These shares are held by David J Girouard, as trustee of the DTG GRAT LLC, dated May 23,2023.
These shares are held by Tristen Baird Willard, as trustee of the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020.
These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 NONEXEMPT GIFT TRUST, dated October 19, 2020.
These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 NONEXEMPT GIFT TRUST, dated October 19, 2020.
/s/ Christopher Ing, by power of attorney
2023-08-24