SEC Form 4 · accession 0001193125-26-268167
Upstream Bio, Inc. · UPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harold Edward Fleming
Director
Period of report
Jun 9, 2026
Accepted (ET)
Jun 11, 2026 · 8:00 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0002022626
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2,F1 | $6.69 | Jun 9, 2026 | A | 17,096 | A | — | Jun 8, 2036 | Common Stock | 17,096 | 17,096 | D |
Explanation of responses
- F1The shares underlying this option shall vest in full upon the earlier of (i) June 9, 2027 and (ii) the date of the next Annual Meeting of Stockholders of the Issuer, subject to the Reporting Person's continued service on such vesting date.
- F2Mr. Fleming has agreed to receive and hold for the benefit of Enavate Sciences, LP, any securities granted to him for his service as a director on the Issuer's board of directors. As such, Mr. Fleming disclaims beneficial ownership of, and all right, title and interest in, the option and the shares issuable upon exercise thereof.