| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | UPST | Common Stock | Options Exercise | $54,000 | +40,000 | +10.9% | $1.35* | 407,412 | 15 Nov 2021 | Direct | F1 |
| transaction | UPST | Common Stock | Options Exercise | $21,500 | +10,000 | +2.45% | $2.15* | 417,412 | 15 Nov 2021 | Direct | F1 |
| transaction | UPST | Common Stock | Options Exercise | $16,770 | +39,000 | +9.34% | $0.4300* | 456,412 | 15 Nov 2021 | Direct | F1, F2 |
| transaction | UPST | Common Stock | Sale | -$198,720 | -852 | -0.19% | $233.24* | 455,560 | 15 Nov 2021 | Direct | F1, F2, F3 |
| transaction | UPST | Common Stock | Sale | -$561,840 | -2,400 | -0.53% | $234.10* | 453,160 | 15 Nov 2021 | Direct | F1, F2, F4 |
| transaction | UPST | Common Stock | Sale | -$188,168 | -800 | -0.18% | $235.21* | 452,360 | 15 Nov 2021 | Direct | F1, F2, F5 |
| transaction | UPST | Common Stock | Sale | -$47,160 | -200 | -0.04% | $235.80* | 452,160 | 15 Nov 2021 | Direct | F1, F2 |
| transaction | UPST | Common Stock | Sale | -$166,404 | -700 | -0.15% | $237.72* | 451,460 | 15 Nov 2021 | Direct | F1, F2, F6 |
| transaction | UPST | Common Stock | Sale | -$788,337 | -3,300 | -0.73% | $238.89* | 448,160 | 15 Nov 2021 | Direct | F1, F2, F7 |
| transaction | UPST | Common Stock | Sale | -$982,934 | -4,100 | -0.91% | $239.74* | 444,060 | 15 Nov 2021 | Direct | F1, F2, F8 |
| transaction | UPST | Common Stock | Sale | -$457,691 | -1,900 | -0.43% | $240.89* | 442,160 | 15 Nov 2021 | Direct | F1, F2, F9 |
| transaction | UPST | Common Stock | Sale | -$701,365 | -2,900 | -0.66% | $241.85* | 439,260 | 15 Nov 2021 | Direct | F1, F2, F10 |
| transaction | UPST | Common Stock | Sale | -$267,124 | -1,100 | -0.25% | $242.84* | 438,160 | 15 Nov 2021 | Direct | F1, F2, F11 |
| transaction | UPST | Common Stock | Sale | -$195,192 | -800 | -0.18% | $243.99* | 437,360 | 15 Nov 2021 | Direct | F1, F2, F12 |
| transaction | UPST | Common Stock | Sale | -$516,747 | -2,100 | -0.48% | $246.07* | 435,260 | 15 Nov 2021 | Direct | F1, F2, F13 |
| transaction | UPST | Common Stock | Sale | -$518,700 | -2,100 | -0.48% | $247.00* | 433,160 | 15 Nov 2021 | Direct | F1, F2, F14 |
| transaction | UPST | Common Stock | Sale | -$769,048 | -3,100 | -0.72% | $248.08* | 430,060 | 15 Nov 2021 | Direct | F1, F2, F15 |
| transaction | UPST | Common Stock | Sale | -$330,415 | -1,325 | -0.31% | $249.37* | 428,735 | 15 Nov 2021 | Direct | F1, F2, F16 |
| transaction | UPST | Common Stock | Sale | -$870,042 | -3,476 | -0.81% | $250.30* | 425,259 | 15 Nov 2021 | Direct | F1, F2, F17 |
| transaction | UPST | Common Stock | Sale | -$577,852 | -2,300 | -0.54% | $251.24* | 422,959 | 15 Nov 2021 | Direct | F1, F2, F18 |
| transaction | UPST | Common Stock | Sale | -$303,288 | -1,200 | -0.28% | $252.74* | 421,759 | 15 Nov 2021 | Direct | F1, F2, F19 |
| transaction | UPST | Common Stock | Sale | -$570,311 | -2,247 | -0.53% | $253.81* | 419,512 | 15 Nov 2021 | Direct | F1, F2, F20 |
| transaction | UPST | Common Stock | Sale | -$101,928 | -400 | -0.1% | $254.82* | 419,112 | 15 Nov 2021 | Direct | F1, F2, F21 |
| transaction | UPST | Common Stock | Sale | -$102,320 | -400 | -0.1% | $255.80* | 418,712 | 15 Nov 2021 | Direct | F1, F2, F22 |
| transaction | UPST | Common Stock | Sale | -$155,094 | -600 | -0.14% | $258.49* | 418,112 | 15 Nov 2021 | Direct | F1, F2, F23 |
| transaction | UPST | Common Stock | Sale | -$92,357 | -356 | -0.09% | $259.43* | 417,756 | 15 Nov 2021 | Direct | F1, F2, F24 |
| transaction | UPST | Common Stock | Sale | -$63,564 | -244 | -0.06% | $260.51* | 417,512 | 15 Nov 2021 | Direct | F1, F2, F25 |
| transaction | UPST | Common Stock | Sale | -$26,158 | -100 | -0.02% | $261.58* | 417,412 | 15 Nov 2021 | Direct | F1, F2 |
| 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 | $0 | -40,000 | -100% | $0.000000* | 0 | 15 Nov 2021 | Common Stock | 40,000 | $1.35 | Direct | F26 |
| transaction | UPST | Employee Stock Option (Right to buy) | Options Exercise | $0 | -10,000 | -5.88% | $0.000000 | 160,000 | 15 Nov 2021 | Common Stock | 10,000 | $2.15 | Direct | F27 |
| transaction | UPST | Employee Stock Option (Right to buy) | Options Exercise | $0 | -39,000 | -17.6% | $0.000000 | 182,876 | 15 Nov 2021 | Common Stock | 39,000 | $0.4300 | Direct | F2, F26 |
| Id | Content |
|---|---|
| F1 | Certain of these securities are restricted stock units (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. |
| F2 | The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 27, 2021 (the "10b5-1 Plan"). |
| F3 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $232.74 to $233.70. 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 within the ranges set forth in footnotes (3) through (25) to this Form 4. |
| F4 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $233.74 to $234.67. |
| F5 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $234.80 to $235.72. |
| F6 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $237.23 to $238.11. |
| F7 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $238.35 to $239.31. |
| F8 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $239.40 to $240.32. |
| F9 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $240.44 to $241.35. |
| F10 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $241.45 to $242.33. |
| F11 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $242.48 to $243.35. |
| F12 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $243.59 to $244.43. |
| F13 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $245.55 to $246.50. |
| F14 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $246.59 to $247.50. |
| F15 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $247.67 to $248.59. |
| F16 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $248.84 to $249.82. |
| F17 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $249.84 to $250.83. |
| F18 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $250.85 to $251.77. |
| F19 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $252.19 to $253.15. |
| F20 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $253.35 to $254.21. |
| F21 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $254.48 to $255.30. |
| F22 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $255.59 to $256.25. |
| F23 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $258.05 to $258.78. |
| F24 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $259.17 to $260.04. |
| F25 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $260.23 to $260.62. |
| F26 | All of the shares subject to this option are fully vested and exercisable as of the date hereof. |
| F27 | This option, originally for 200,000 shares, of which 40,000 shares have been exercised, vested as to one forty-eighth of the shares on February 1, 2018 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. |