-
Signature
-
/s/ Steven Madrid, by power of attorney
-
Stock symbol
-
UPST
-
Transactions as of
-
Oct 1, 2025
-
Transactions value $
-
-$54,640
-
Form type
-
4
-
Date filed
-
10/3/2025, 04:39 PM
Reporting Owners (1)
| Name |
Relationship |
Address |
Signature |
Signature date |
CIK |
| Darling Scott |
Chief Legal Officer |
C/O UPSTART HOLDINGS, INC., 2950 S. DELAWARE STREET, SUITE 410, SAN MATEO |
/s/ Steven Madrid, by power of attorney |
2025-10-03 |
0001558259 |
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
UPST |
Common Stock |
Options Exercise |
$13.2K |
+1K |
+0.81% |
$13.22 |
125K |
Oct 1, 2025 |
Direct |
F1, F2 |
| transaction |
UPST |
Common Stock |
Sale |
-$54.6K |
-1K |
-0.8% |
$54.64 |
124K |
Oct 1, 2025 |
Direct |
F1 |
Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Underlying Class |
Amount |
Exercise Price |
Ownership |
Footnotes |
| transaction |
UPST |
Employee Stock Option (Right to buy) |
Options Exercise |
-$13.2K |
-1K |
-0.5% |
$13.22 |
199K |
Oct 1, 2025 |
Common Stock |
1K |
$13.22 |
Direct |
F1, F3 |
* An asterisk sign (*) next to the price indicates that the price is likely invalid.
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
Explanation of Responses: