0001628280-24-008637.txt : 20240304 0001628280-24-008637.hdr.sgml : 20240304 20240304180601 ACCESSION NUMBER: 0001628280-24-008637 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240229 FILED AS OF DATE: 20240304 DATE AS OF CHANGE: 20240304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Datta Sanjay CENTRAL INDEX KEY: 0001832808 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39797 FILM NUMBER: 24716940 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] ORGANIZATION NAME: 02 Finance 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_1709593536.xml FORM 4 X0508 4 2024-02-29 0 0001647639 Upstart Holdings, Inc. UPST 0001832808 Datta Sanjay C/O UPSTART HOLDINGS, INC. 2950 S. DELAWARE STREET, SUITE 410 SAN MATEO CA 94403 0 1 0 0 Chief Financial Officer 0 Common Stock 2024-02-29 4 A 0 61201 0 A 402536 D Employee Stock Option (Right to buy) 25.75 2024-02-29 4 A 0 116281 0 A 2034-02-28 Common Stock 116281 116281 D These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. 1/16th of the RSUs shall vest on May 20, 2024 and at the end of each successive three month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. 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. 1/48th of the shares subject to the option shall vest on March 20, 2024 and each successive one-month period thereafter, subject to the Reporting Person continuing as a service provider through each such date. /s/ Cynthia Moon, by power of attorney 2024-03-04