SEC Form 4 · accession 0001832812-26-000010
Upstart Holdings, Inc. · UPST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Gu
Officer — Chief Executive Officer · Director
Period of report
Sep 10, 2026
Accepted (ET)
Sep 10, 2026 · 7:13 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 StockF1,F2 | Sep 10, 2026 | P | 50,000 | $25.55 | A | 130,000 | I | by LLC |
| Common StockF3 | holding | — | — | — | 1,102,616 | D | ||
| Common StockF4 | holding | — | — | — | 44,930 | I | by trust | |
| Common StockF5 | holding | — | — | — | 70,000 | I | by trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.505 to $25.585. 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 purchased at each separate price.
- F2The reportable securities are owned by JECCO, LLC, of which the Reporting Person is a managing member.
- F3Certain 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.
- F4The reportable securities are owned by The Paul Xinquan Gu 2021 Gifting Trust, of which the Reporting Person is a trustee.
- F5The reportable securities are owned by The Gu Qiao Family Trust, of which the Reporting Person is the trustee.