SEC Form 4 · accession 0001832808-26-000020
Upstart Holdings, Inc. · UPST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sanjay Datta
Officer — President, Capital& Enterprise
Period of report
Sep 8, 2026
Accepted (ET)
Sep 10, 2026 · 7:12 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001647639
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 8, 2026 | M | 300,000 | $1.35 | A | 592,578 | D | |
| Common StockF1,F2 | Sep 8, 2026 | S | 116,000 | $27.2948 | D | 476,578 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to buy)F3 | $1.35 | Sep 8, 2026 | M | 300,000 | D | — | Dec 28, 2026 | Common Stock | 300,000 | 302,607 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.92 to $27.81. 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.
- F2Certain 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.
- F3All of the shares subject to this option are fully vested and exercisable as of the date hereof.