<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> <?xml version="1.0" encoding="UTF-8"?><edgarSubmission xmlns="http://www.sec.gov/edgar/ownership" xmlns:com="http://www.sec.gov/edgar/common"> <headerData> <submissionType>144</submissionType> <filerInfo> <filer> <filerCredentials> <cik>0001832812</cik> <ccc>XXXXXXXX</ccc> </filerCredentials> </filer> <liveTestFlag>LIVE</liveTestFlag> </filerInfo> </headerData> <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. 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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> </XML> </TEXT> </DOCUMENT> </SEC-DOCUMENT>