<SEC-DOCUMENT>0001959173-24-005778.txt : 20240819
<SEC-HEADER>0001959173-24-005778.hdr.sgml : 20240819
<ACCEPTANCE-DATETIME>20240819161045
ACCESSION NUMBER: 0001959173-24-005778
CONFORMED SUBMISSION TYPE: 144
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20240819
DATE AS OF CHANGE: 20240819
SUBJECT COMPANY:
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
FILING VALUES:
FORM TYPE: 144
SEC ACT: 1933 Act
SEC FILE NUMBER: 001-39797
FILM NUMBER: 241220617
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
REPORTING-OWNER:
COMPANY DATA:
COMPANY CONFORMED NAME: Gu Paul
CENTRAL INDEX KEY: 0001832812
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 144
MAIL ADDRESS:
STREET 1: C/O UPSTART HOLDINGS, INC.
STREET 2: 2950 S. DELAWARE STREET, SUITE 300
CITY: SAN MATEO
STATE: CA
ZIP: 94403
</SEC-HEADER>
<DOCUMENT>
<TYPE>144
<SEQUENCE>1
<FILENAME>primary_doc.xml
<TEXT>
<XML>
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<headerData>
<submissionType>144</submissionType>
<filerInfo>
<filer>
<filerCredentials>
<cik>0001832812</cik>
<ccc>XXXXXXXX</ccc>
</filerCredentials>
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<liveTestFlag>LIVE</liveTestFlag>
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<formData>
<issuerInfo>
<issuerCik>0001647639</issuerCik>
<issuerName>Upstart Holdings, Inc.</issuerName>
<secFileNumber>001-39797</secFileNumber>
<issuerAddress>
<com:street1>2950 S. DELAWARE STREET, SUITE 300</com:street1>
<com:city>SAN MATEO</com:city>
<com:stateOrCountry>CA</com:stateOrCountry>
<com:zipCode>94403</com:zipCode>
</issuerAddress>
<issuerContactPhone>(650) 204-1000</issuerContactPhone>
<nameOfPersonForWhoseAccountTheSecuritiesAreToBeSold>Gu Paul</nameOfPersonForWhoseAccountTheSecuritiesAreToBeSold>
<relationshipsToIssuer>
<relationshipToIssuer>Officer</relationshipToIssuer>
<relationshipToIssuer>Director</relationshipToIssuer>
</relationshipsToIssuer>
</issuerInfo>
<securitiesInformation>
<securitiesClassTitle>Common Stock</securitiesClassTitle>
<brokerOrMarketmakerDetails>
<name>Fidelity Brokerage Services LLC</name>
<address>
<com:street1>245 Summer Street</com:street1>
<com:city>Boston</com:city>
<com:stateOrCountry>MA</com:stateOrCountry>
<com:zipCode>02110</com:zipCode>
</address>
</brokerOrMarketmakerDetails>
<noOfUnitsSold>10000</noOfUnitsSold>
<aggregateMarketValue>400072.00</aggregateMarketValue>
<noOfUnitsOutstanding>89513590</noOfUnitsOutstanding>
<approxSaleDate>08/19/2024</approxSaleDate>
<securitiesExchangeName>NASDAQ</securitiesExchangeName>
</securitiesInformation>
<securitiesToBeSold>
<securitiesClassTitle>Common Stock</securitiesClassTitle>
<acquiredDate>08/19/2024</acquiredDate>
<natureOfAcquisitionTransaction>Stock Option Exercise</natureOfAcquisitionTransaction>
<nameOfPersonfromWhomAcquired>Upstart Holdings, Inc.</nameOfPersonfromWhomAcquired>
<isGiftTransaction>N</isGiftTransaction>
<amountOfSecuritiesAcquired>10000</amountOfSecuritiesAcquired>
<paymentDate>08/19/2024</paymentDate>
<natureOfPayment>Wire</natureOfPayment>
</securitiesToBeSold>
<nothingToReportFlagOnSecuritiesSoldInPast3Months>N</nothingToReportFlagOnSecuritiesSoldInPast3Months>
<securitiesSoldInPast3Months>
<sellerDetails>
<name>Paul Xinquan Gu</name>
<address>
<com:street1>c/o Upstart Holdings, Inc.</com:street1>
<com:street2>2950 S. Delaware Street, Suite 300</com:street2>
<com:city>San Mateo</com:city>
<com:stateOrCountry>CA</com:stateOrCountry>
<com:zipCode>94403</com:zipCode>
</address>
</sellerDetails>
<securitiesClassTitle>Common Stock</securitiesClassTitle>
<saleDate>05/20/2024</saleDate>
<amountOfSecuritiesSold>15131</amountOfSecuritiesSold>
<grossProceeds>387478.00</grossProceeds>
</securitiesSoldInPast3Months>
<securitiesSoldInPast3Months>
<sellerDetails>
<name>Paul Xinquan Gu</name>
<address>
<com:street1>c/o Upstart Holdings, Inc.</com:street1>
<com:street2>2950 S. Delaware Street, Suite 300</com:street2>
<com:city>San Mateo</com:city>
<com:stateOrCountry>CA</com:stateOrCountry>
<com:zipCode>94403</com:zipCode>
</address>
</sellerDetails>
<securitiesClassTitle>Common Stock</securitiesClassTitle>
<saleDate>06/03/2024</saleDate>
<amountOfSecuritiesSold>15000</amountOfSecuritiesSold>
<grossProceeds>378001.50</grossProceeds>
</securitiesSoldInPast3Months>
<securitiesSoldInPast3Months>
<sellerDetails>
<name>Paul Xinquan Gu</name>
<address>
<com:street1>c/o Upstart Holdings, Inc.</com:street1>
<com:street2>2950 S. Delaware Street, Suite 300</com:street2>
<com:city>San Mateo</com:city>
<com:stateOrCountry>CA</com:stateOrCountry>
<com:zipCode>94403</com:zipCode>
</address>
</sellerDetails>
<securitiesClassTitle>Common Stock</securitiesClassTitle>
<saleDate>07/01/2024</saleDate>
<amountOfSecuritiesSold>5000</amountOfSecuritiesSold>
<grossProceeds>117591.00</grossProceeds>
</securitiesSoldInPast3Months>
<securitiesSoldInPast3Months>
<sellerDetails>
<name>Paul Xinquan Gu</name>
<address>
<com:street1>c/o Upstart Holdings, Inc.</com:street1>
<com:street2>2950 S. Delaware Street, Suite 300</com:street2>
<com:city>San Mateo</com:city>
<com:stateOrCountry>CA</com:stateOrCountry>
<com:zipCode>94403</com:zipCode>
</address>
</sellerDetails>
<securitiesClassTitle>Common Stock</securitiesClassTitle>
<saleDate>07/11/2024</saleDate>
<amountOfSecuritiesSold>10000</amountOfSecuritiesSold>
<grossProceeds>258765.00</grossProceeds>
</securitiesSoldInPast3Months>
<securitiesSoldInPast3Months>
<sellerDetails>
<name>Paul Xinquan Gu</name>
<address>
<com:street1>c/o Upstart Holdings, Inc.</com:street1>
<com:street2>2950 S. Delaware Street, Suite 300</com:street2>
<com:city>San Mateo</com:city>
<com:stateOrCountry>CA</com:stateOrCountry>
<com:zipCode>94403</com:zipCode>
</address>
</sellerDetails>
<securitiesClassTitle>Common Stock</securitiesClassTitle>
<saleDate>07/15/2024</saleDate>
<amountOfSecuritiesSold>10000</amountOfSecuritiesSold>
<grossProceeds>300541.00</grossProceeds>
</securitiesSoldInPast3Months>
<securitiesSoldInPast3Months>
<sellerDetails>
<name>Paul Xinquan Gu</name>
<address>
<com:street1>c/o Upstart Holdings, Inc.</com:street1>
<com:street2>2950 S. Delaware Street, Suite 300</com:street2>
<com:city>San Mateo</com:city>
<com:stateOrCountry>CA</com:stateOrCountry>
<com:zipCode>94403</com:zipCode>
</address>
</sellerDetails>
<securitiesClassTitle>Common Stock </securitiesClassTitle>
<saleDate>08/15/2024</saleDate>
<amountOfSecuritiesSold>35000</amountOfSecuritiesSold>
<grossProceeds>1296246.00</grossProceeds>
</securitiesSoldInPast3Months>
<noticeSignature>
<noticeDate>08/19/2024</noticeDate>
<planAdoptionDates>
<planAdoptionDate>02/28/2024</planAdoptionDate>
</planAdoptionDates>
<signature>/s/Myra King, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Paul Xinquan Gu</signature>
</noticeSignature>
</formData>
</edgarSubmission>
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</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>