Paul Gu
Insider
First SEC filing: Dec. 15, 2020 · Latest: Dec. 15, 2020
Insider at
Insider transactions
4 buys (P)
0 sells (S)
Net: $6,575,300
Avg return of open purchases vs now: -23.0%
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Sept. 10, 2026 | UPST | P | 50,000 | $25.55 | $1,277,500 | 130,000 Indirect | +62.50% | Acquired | -4.7% (price as of 2026-10-05) |
| May 13, 2026 | UPST | P | 50,000 | $27.50 | $1,375,000 | 70,000 Indirect | +250.00% | Acquired | -11.5% (price as of 2026-10-05) |
| Feb. 28, 2026 | UPST | A | 912,702 | · | · | 912,702 Direct | · | Acquired | (price as of 2026-10-05) |
| Nov. 11, 2025 | UPST | P | 20,000 | $39.22 | $784,400 | 20,000 Indirect | · | Acquired | -37.9% (price as of 2026-10-05) |
| Nov. 11, 2025 | UPST | P | 80,000 | $39.23 | $3,138,400 | 80,000 Indirect | · | Acquired | -37.9% (price as of 2026-10-05) |
| Sept. 2, 2025 | UPST | M 10b5-1 | 2,500 | $3.80 | $9,500 | 1,149,656 Direct | +0.22% | Acquired | 540.8% (price as of 2026-10-05) |
| Sept. 2, 2025 | UPST | M 10b5-1 | 2,500 | $8.88 | $22,200 | 1,152,156 Direct | +0.22% | Acquired | 174.2% (price as of 2026-10-05) |
| Sept. 2, 2025 | UPST | S 10b5-1 | 2,663 | $68.35 | $182,016 | 1,149,493 Direct | -0.23% | Disposed | -64.4% (price as of 2026-10-05) |
| Sept. 2, 2025 | UPST | S 10b5-1 | 2,337 | $68.91 | $161,043 | 1,147,156 Direct | -0.20% | Disposed | -64.7% (price as of 2026-10-05) |
| Sept. 2, 2025 | UPST | M | 2,500 | $3.80 | $9,500 | 42,500 Direct | -5.56% | Disposed | 540.8% (price as of 2026-10-05) |
| Sept. 2, 2025 | UPST | M | 2,500 | $8.88 | $22,200 | 181,336 Direct | -1.36% | Disposed | 174.2% (price as of 2026-10-05) |
| June 17, 2025 | UPST | M | 25,000 | $3.80 | $95,000 | 1,147,156 Direct | +2.23% | Acquired | 540.8% (price as of 2026-10-05) |
| June 17, 2025 | UPST | M | 25,000 | $3.80 | $95,000 | 45,000 Direct | -35.71% | Disposed | 540.8% (price as of 2026-10-05) |
| May 19, 2025 | UPST | M | 25,000 | · | · | 70,000 Direct | -26.32% | Disposed | (price as of 2026-10-05) |
| May 19, 2025 | UPST | M | 25,000 | $3.80 | $95,000 | 1,122,156 Direct | +2.28% | Acquired | 540.8% (price as of 2026-10-05) |
| April 14, 2025 | UPST | M | 25,000 | $3.80 | $95,000 | 1,097,156 Direct | +2.33% | Acquired | 540.8% (price as of 2026-10-05) |
| April 14, 2025 | UPST | M | 25,000 | · | · | 95,000 Direct | -20.83% | Disposed | (price as of 2026-10-05) |
| March 10, 2025 | UPST | M | 13,269 | $15.23 | $202,087 | 1,067,312 Direct | +1.26% | Acquired | 59.9% (price as of 2026-10-05) |
| March 10, 2025 | UPST | M | 4,844 | $25.75 | $124,733 | 1,072,156 Direct | +0.45% | Acquired | -5.4% (price as of 2026-10-05) |
| March 10, 2025 | UPST | M | 13,269 | · | · | 285,332 Direct | -4.44% | Disposed | (price as of 2026-10-05) |
| March 10, 2025 | UPST | M | 4,844 | · | · | 106,593 Direct | -4.35% | Disposed | (price as of 2026-10-05) |
| March 6, 2025 | UPST | M | 13,269 | $15.23 | $202,087 | 1,049,199 Direct | +1.28% | Acquired | 59.9% (price as of 2026-10-05) |
| March 6, 2025 | UPST | M | 4,844 | $25.75 | $124,733 | 1,054,043 Direct | +0.46% | Acquired | -5.4% (price as of 2026-10-05) |
| March 6, 2025 | UPST | M | 13,269 | · | · | 298,601 Direct | -4.25% | Disposed | (price as of 2026-10-05) |
| March 6, 2025 | UPST | M | 4,844 | · | · | 111,437 Direct | -4.17% | Disposed | (price as of 2026-10-05) |
| Feb. 28, 2025 | UPST | A | 29,331 | · | · | 1,035,930 Direct | +2.91% | Acquired | (price as of 2026-10-05) |
| Feb. 28, 2025 | UPST | A | 55,728 | · | · | 55,728 Direct | · | Acquired | (price as of 2026-10-05) |
| Feb. 20, 2025 | UPST | S | 11,607 | $79.00 | $916,953 | 1,006,999 Direct | -1.14% | Disposed | -69.2% (price as of 2026-10-05) |
| Feb. 20, 2025 | UPST | S | 400 | $79.56 | $31,824 | 1,006,599 Direct | -0.04% | Disposed | -69.4% (price as of 2026-10-05) |
| Jan. 31, 2025 | UPST | M | 17,500 | $3.80 | $66,500 | 1,011,357 Direct | +1.76% | Acquired | 540.8% (price as of 2026-10-05) |
| Jan. 31, 2025 | UPST | M | 6,566 | $15.23 | $100,000 | 1,017,923 Direct | +0.65% | Acquired | 59.9% (price as of 2026-10-05) |
| Jan. 31, 2025 | UPST | M | 17,500 | · | · | 120,000 Direct | -12.73% | Disposed | (price as of 2026-10-05) |
| Jan. 31, 2025 | UPST | M | 6,566 | · | · | 311,870 Direct | -2.06% | Disposed | (price as of 2026-10-05) |
| Jan. 13, 2025 | UPST | M | 30,792 | $2.15 | $66,203 | 993,857 Direct | +3.20% | Acquired | 1032.6% (price as of 2026-10-05) |
| Jan. 13, 2025 | UPST | M | 30,792 | · | · | 0 Direct | -100.00% | Disposed | (price as of 2026-10-05) |
| Jan. 7, 2025 | UPST | M | 50,000 | $2.15 | $107,500 | 963,065 Direct | +5.48% | Acquired | 1032.6% (price as of 2026-10-05) |
| Jan. 7, 2025 | UPST | M | 50,000 | · | · | 30,792 Direct | -61.89% | Disposed | (price as of 2026-10-05) |
| Dec. 30, 2024 | UPST | M | 50,000 | $2.15 | $107,500 | 913,065 Direct | +5.79% | Acquired | 1032.6% (price as of 2026-10-05) |
| Dec. 30, 2024 | UPST | M | 50,000 | · | · | 80,792 Direct | -38.23% | Disposed | (price as of 2026-10-05) |
| Dec. 6, 2024 | UPST | M 10b5-1 | 40,226 | $1.17 | $47,064 | 903,291 Direct | +4.66% | Acquired | 1981.2% (price as of 2026-10-05) |
| Dec. 6, 2024 | UPST | S 10b5-1 | 35,876 | $75.37 | $2,703,974 | 867,415 Direct | -3.97% | Disposed | -67.7% (price as of 2026-10-05) |
| Dec. 6, 2024 | UPST | S 10b5-1 | 4,350 | $76.18 | $331,383 | 863,065 Direct | -0.50% | Disposed | -68.0% (price as of 2026-10-05) |
| Dec. 6, 2024 | UPST | M 10b5-1 | 40,226 | · | · | 0 Direct | -100.00% | Disposed | (price as of 2026-10-05) |
| Dec. 5, 2024 | UPST | M 10b5-1 | 4,019 | $1.17 | $4,702 | 867,084 Direct | +0.47% | Acquired | 1981.2% (price as of 2026-10-05) |
| Dec. 5, 2024 | UPST | S 10b5-1 | 4,019 | $75.00 | $301,425 | 863,065 Direct | -0.46% | Disposed | -67.5% (price as of 2026-10-05) |
| Dec. 5, 2024 | UPST | M 10b5-1 | 4,019 | · | · | 40,226 Direct | -9.08% | Disposed | (price as of 2026-10-05) |
| Dec. 4, 2024 | UPST | M 10b5-1 | 28,155 | $1.17 | $32,941 | 891,220 Direct | +3.26% | Acquired | 1981.2% (price as of 2026-10-05) |
| Dec. 4, 2024 | UPST | S 10b5-1 | 28,155 | $75.06 | $2,113,314 | 863,065 Direct | -3.16% | Disposed | -67.6% (price as of 2026-10-05) |
| Dec. 4, 2024 | UPST | M 10b5-1 | 28,155 | · | · | 44,245 Direct | -38.89% | Disposed | (price as of 2026-10-05) |
| Dec. 2, 2024 | UPST | M 10b5-1 | 87,600 | $1.17 | $102,492 | 950,665 Direct | +10.15% | Acquired | 1981.2% (price as of 2026-10-05) |
| Dec. 2, 2024 | UPST | S 10b5-1 | 17,456 | $67.70 | $1,181,771 | 933,209 Direct | -1.84% | Disposed | -64.0% (price as of 2026-10-05) |
| Dec. 2, 2024 | UPST | S 10b5-1 | 23,109 | $68.52 | $1,583,429 | 910,100 Direct | -2.48% | Disposed | -64.5% (price as of 2026-10-05) |
| Dec. 2, 2024 | UPST | S 10b5-1 | 17,614 | $69.49 | $1,223,997 | 892,486 Direct | -1.94% | Disposed | -65.0% (price as of 2026-10-05) |
| Dec. 2, 2024 | UPST | S 10b5-1 | 21,039 | $70.41 | $1,481,356 | 871,447 Direct | -2.36% | Disposed | -65.4% (price as of 2026-10-05) |
| Dec. 2, 2024 | UPST | S 10b5-1 | 5,782 | $71.26 | $412,025 | 865,665 Direct | -0.66% | Disposed | -65.8% (price as of 2026-10-05) |
| Dec. 2, 2024 | UPST | S 10b5-1 | 2,600 | $75.26 | $195,676 | 863,065 Direct | -0.30% | Disposed | -67.6% (price as of 2026-10-05) |
| Dec. 2, 2024 | UPST | M 10b5-1 | 87,600 | · | · | 72,400 Direct | -54.75% | Disposed | (price as of 2026-10-05) |
| Nov. 25, 2024 | UPST | M 10b5-1 | 58,786 | $1.17 | $68,780 | 921,851 Direct | +6.81% | Acquired | 1981.2% (price as of 2026-10-05) |
| Nov. 25, 2024 | UPST | S 10b5-1 | 35,715 | $75.51 | $2,696,840 | 886,136 Direct | -3.87% | Disposed | -67.8% (price as of 2026-10-05) |
| Nov. 25, 2024 | UPST | S 10b5-1 | 22,935 | $76.59 | $1,756,592 | 863,201 Direct | -2.59% | Disposed | -68.2% (price as of 2026-10-05) |
| Nov. 25, 2024 | UPST | S 10b5-1 | 136 | $77.25 | $10,506 | 863,065 Direct | -0.02% | Disposed | -68.5% (price as of 2026-10-05) |
| Nov. 25, 2024 | UPST | M 10b5-1 | 58,786 | · | · | 160,000 Direct | -26.87% | Disposed | (price as of 2026-10-05) |
| Nov. 21, 2024 | UPST | M 10b5-1 | 4,583 | $1.17 | $5,362 | 867,648 Direct | +0.53% | Acquired | 1981.2% (price as of 2026-10-05) |
| Nov. 21, 2024 | UPST | M 10b5-1 | 16,631 | $1.17 | $19,458 | 884,279 Direct | +1.92% | Acquired | 1981.2% (price as of 2026-10-05) |
| Nov. 21, 2024 | UPST | S 10b5-1 | 21,214 | $75.03 | $1,591,686 | 863,065 Direct | -2.40% | Disposed | -67.5% (price as of 2026-10-05) |
| Nov. 21, 2024 | UPST | M 10b5-1 | 4,583 | · | · | 0 Direct | -100.00% | Disposed | (price as of 2026-10-05) |
| Nov. 21, 2024 | UPST | M 10b5-1 | 16,631 | · | · | 218,786 Direct | -7.06% | Disposed | (price as of 2026-10-05) |
| Nov. 20, 2024 | UPST | S | 11,476 | $69.60 | $798,730 | 867,089 Direct | -1.31% | Disposed | -65.0% (price as of 2026-10-05) |
| Nov. 20, 2024 | UPST | S | 4,024 | $70.45 | $283,491 | 863,065 Direct | -0.46% | Disposed | -65.4% (price as of 2026-10-05) |
| Nov. 15, 2024 | UPST | M 10b5-1 | 5,000 | $1.17 | $5,850 | 883,565 Direct | +0.57% | Acquired | 1981.2% (price as of 2026-10-05) |
| Nov. 15, 2024 | UPST | M 10b5-1 | 60,000 | $1.17 | $70,200 | 943,565 Direct | +6.79% | Acquired | 1981.2% (price as of 2026-10-05) |
| Nov. 15, 2024 | UPST | S 10b5-1 | 16,274 | $65.43 | $1,064,808 | 927,291 Direct | -1.72% | Disposed | -62.8% (price as of 2026-10-05) |
| Nov. 15, 2024 | UPST | S 10b5-1 | 28,425 | $66.53 | $1,891,115 | 898,866 Direct | -3.07% | Disposed | -63.4% (price as of 2026-10-05) |
| Nov. 15, 2024 | UPST | S 10b5-1 | 17,775 | $67.44 | $1,198,746 | 881,091 Direct | -1.98% | Disposed | -63.9% (price as of 2026-10-05) |
| Nov. 15, 2024 | UPST | S 10b5-1 | 2,426 | $68.46 | $166,084 | 878,665 Direct | -0.28% | Disposed | -64.4% (price as of 2026-10-05) |
| Nov. 15, 2024 | UPST | S 10b5-1 | 100 | $69.17 | $6,917 | 878,565 Direct | -0.01% | Disposed | -64.8% (price as of 2026-10-05) |
| Nov. 15, 2024 | UPST | M 10b5-1 | 5,000 | · | · | 0 Direct | -100.00% | Disposed | (price as of 2026-10-05) |
| Nov. 15, 2024 | UPST | M 10b5-1 | 60,000 | · | · | 4,583 Direct | -92.90% | Disposed | (price as of 2026-10-05) |
| Oct. 14, 2024 | UPST | M 10b5-1 | 20,000 | $1.17 | $23,400 | 898,565 Direct | +2.28% | Acquired | 1981.2% (price as of 2026-10-05) |
| Oct. 14, 2024 | UPST | S 10b5-1 | 20,000 | $50.26 | $1,005,200 | 878,565 Direct | -2.23% | Disposed | -51.6% (price as of 2026-10-05) |
| Oct. 14, 2024 | UPST | M 10b5-1 | 20,000 | · | · | 5,000 Direct | -80.00% | Disposed | (price as of 2026-10-05) |
| Oct. 4, 2024 | UPST | M 10b5-1 | 8,800 | $1.17 | $10,296 | 887,365 Direct | +1.00% | Acquired | 1981.2% (price as of 2026-10-05) |
| Oct. 4, 2024 | UPST | S 10b5-1 | 8,800 | $40.10 | $352,880 | 878,565 Direct | -0.99% | Disposed | -39.3% (price as of 2026-10-05) |
| Oct. 4, 2024 | UPST | M 10b5-1 | 8,800 | · | · | 25,000 Direct | -26.04% | Disposed | (price as of 2026-10-05) |
| Oct. 1, 2024 | UPST | M 10b5-1 | 36,200 | $1.17 | $42,354 | 914,765 Direct | +4.12% | Acquired | 1981.2% (price as of 2026-10-05) |
| Oct. 1, 2024 | UPST | S 10b5-1 | 30,050 | $39.07 | $1,174,054 | 884,715 Direct | -3.28% | Disposed | -37.7% (price as of 2026-10-05) |
| Oct. 1, 2024 | UPST | S 10b5-1 | 6,150 | $39.94 | $245,631 | 878,565 Direct | -0.70% | Disposed | -39.0% (price as of 2026-10-05) |
| Oct. 1, 2024 | UPST | M 10b5-1 | 36,200 | · | · | 33,800 Direct | -51.71% | Disposed | (price as of 2026-10-05) |
| Sept. 3, 2024 | UPST | M 10b5-1 | 25,864 | $1.17 | $30,261 | 904,429 Direct | +2.94% | Acquired | 1981.2% (price as of 2026-10-05) |
| Sept. 3, 2024 | UPST | M 10b5-1 | 19,136 | $1.17 | $22,389 | 923,565 Direct | +2.12% | Acquired | 1981.2% (price as of 2026-10-05) |
| Sept. 3, 2024 | UPST | S 10b5-1 | 7,174 | $39.48 | $283,230 | 916,391 Direct | -0.78% | Disposed | -38.3% (price as of 2026-10-05) |
| Sept. 3, 2024 | UPST | S 10b5-1 | 7,571 | $40.74 | $308,443 | 908,820 Direct | -0.83% | Disposed | -40.2% (price as of 2026-10-05) |
| Sept. 3, 2024 | UPST | S 10b5-1 | 30,255 | $41.21 | $1,246,809 | 878,565 Direct | -3.33% | Disposed | -40.9% (price as of 2026-10-05) |
| Sept. 3, 2024 | UPST | M 10b5-1 | 25,864 | · | · | 0 Direct | -100.00% | Disposed | (price as of 2026-10-05) |
| Sept. 3, 2024 | UPST | M 10b5-1 | 19,136 | · | · | 70,000 Direct | -21.47% | Disposed | (price as of 2026-10-05) |
| Aug. 20, 2024 | UPST | S | 15,864 | $38.31 | $607,750 | 878,765 Direct | -1.77% | Disposed | -36.4% (price as of 2026-10-05) |
| Aug. 20, 2024 | UPST | S | 200 | $38.93 | $7,786 | 878,565 Direct | -0.02% | Disposed | -37.5% (price as of 2026-10-05) |
| Aug. 19, 2024 | UPST | M 10b5-1 | 10,000 | $1.17 | $11,700 | 904,629 Direct | +1.12% | Acquired | 1981.2% (price as of 2026-10-05) |
| Aug. 19, 2024 | UPST | S 10b5-1 | 10,000 | $40.01 | $400,100 | 894,629 Direct | -1.11% | Disposed | -39.1% (price as of 2026-10-05) |
| Aug. 19, 2024 | UPST | M 10b5-1 | 10,000 | · | · | 25,864 Direct | -27.88% | Disposed | (price as of 2026-10-05) |
Showing latest 100 of 313 transactions
P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding
Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.
Derivative holdings (Form 4 Table II) Options, RSUs and convertible securities reported on Form 4 Table II.
| Date | Ticker | Security | Underlying | Exercise price | Expiration | Shares | A/D |
|---|---|---|---|---|---|---|---|
| Feb. 28, 2026 | UPST | Performance-based Restricted Stock Unit | Common Stock | $0.00 | · | 912,702 | Acquired |
| Sept. 2, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $3.80 | March 29, 2029 | 2,500 | Disposed |
| Sept. 2, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $8.88 | Jan. 31, 2030 | 2,500 | Disposed |
| June 17, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $3.80 | March 29, 2029 | 25,000 | Disposed |
| May 19, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $3.80 | March 29, 2029 | 25,000 | Disposed |
| April 14, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $3.80 | March 29, 2029 | 25,000 | Disposed |
| March 10, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $15.23 | March 17, 2033 | 13,269 | Disposed |
| March 10, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $25.75 | Feb. 28, 2034 | 4,844 | Disposed |
| March 6, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $15.23 | March 17, 2033 | 13,269 | Disposed |
| March 6, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $25.75 | Feb. 28, 2034 | 4,844 | Disposed |
| Feb. 28, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $66.67 | Feb. 27, 2035 | 55,728 | Acquired |
| Jan. 31, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $3.80 | March 29, 2029 | 17,500 | Disposed |
| Jan. 31, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $15.23 | March 17, 2033 | 6,566 | Disposed |
| Jan. 13, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $2.15 | Dec. 18, 2027 | 30,792 | Disposed |
| Jan. 7, 2025 | UPST | Employee Stock Option (Right to buy) | Common Stock | $2.15 | Dec. 18, 2027 | 50,000 | Disposed |
| Dec. 30, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $2.15 | Dec. 18, 2027 | 50,000 | Disposed |
| Dec. 6, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | June 24, 2026 | 40,226 | Disposed |
| Dec. 5, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | June 24, 2026 | 4,019 | Disposed |
| Dec. 4, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | June 24, 2026 | 28,155 | Disposed |
| Dec. 2, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | June 24, 2026 | 87,600 | Disposed |
| Nov. 25, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | June 24, 2026 | 58,786 | Disposed |
| Nov. 21, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | June 24, 2026 | 4,583 | Disposed |
| Nov. 21, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | June 24, 2026 | 16,631 | Disposed |
| Nov. 15, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | Dec. 18, 2025 | 5,000 | Disposed |
| Nov. 15, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | June 24, 2026 | 60,000 | Disposed |
| Oct. 14, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | Dec. 18, 2025 | 20,000 | Disposed |
| Oct. 4, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | Dec. 18, 2025 | 8,800 | Disposed |
| Oct. 1, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | Dec. 18, 2025 | 36,200 | Disposed |
| Sept. 3, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | Dec. 18, 2025 | 25,864 | Disposed |
| Sept. 3, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | Dec. 18, 2025 | 19,136 | Disposed |
| Aug. 19, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | Dec. 18, 2025 | 10,000 | Disposed |
| Aug. 15, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | Dec. 18, 2025 | 35,000 | Disposed |
| July 15, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | Dec. 18, 2025 | 10,000 | Disposed |
| July 11, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | Dec. 18, 2025 | 10,000 | Disposed |
| July 1, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | Dec. 18, 2025 | 5,000 | Disposed |
| June 3, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | Dec. 18, 2025 | 15,000 | Disposed |
| May 17, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $8.88 | Jan. 31, 2030 | 16,164 | Disposed |
| May 15, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.60 | Jan. 14, 2025 | 30,000 | Disposed |
| May 15, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.17 | Dec. 18, 2025 | 50,000 | Disposed |
| April 1, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.60 | Jan. 14, 2025 | 60,000 | Disposed |
| March 1, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.60 | Jan. 14, 2025 | 30,000 | Disposed |
| Feb. 29, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $25.75 | Feb. 28, 2034 | 116,281 | Acquired |
| Feb. 15, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.60 | Jan. 14, 2025 | 30,000 | Disposed |
| Jan. 2, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.43 | June 19, 2024 | 10,000 | Disposed |
| Jan. 2, 2024 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.60 | Jan. 14, 2025 | 50,000 | Disposed |
| Dec. 13, 2023 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.43 | June 19, 2024 | 10,000 | Disposed |
| Dec. 6, 2023 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.43 | June 19, 2024 | 10,000 | Disposed |
| Dec. 1, 2023 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.43 | June 19, 2024 | 40,000 | Disposed |
| Nov. 15, 2023 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.43 | June 19, 2024 | 15,000 | Disposed |
| Oct. 10, 2023 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.43 | June 19, 2024 | 5,000 | Disposed |
| Oct. 2, 2023 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.43 | June 19, 2024 | 15,000 | Disposed |
| Sept. 6, 2023 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.43 | June 19, 2024 | 5,000 | Disposed |
| Sept. 1, 2023 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.43 | June 19, 2024 | 20,000 | Disposed |
| March 17, 2023 | UPST | Employee Stock Option (Right to buy) | Common Stock | $15.23 | March 17, 2033 | 318,436 | Acquired |
| Dec. 19, 2022 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.43 | June 19, 2024 | 50,876 | Disposed |
| March 1, 2022 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.43 | June 19, 2024 | 2,000 | Disposed |
| Feb. 20, 2022 | UPST | Performance-based Restricted Stock Unit | Common Stock | $0.00 | Jan. 1, 2029 | 687,500 | Acquired |
| Jan. 4, 2022 | UPST | Employee Stock Option (Right to buy) | Common Stock | $2.15 | Dec. 18, 2027 | 29,208 | Disposed |
| Jan. 4, 2022 | UPST | Employee Stock Option (Right to buy) | Common Stock | $3.80 | March 29, 2029 | 12,500 | Disposed |
| Nov. 15, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.35 | Jan. 9, 2027 | 40,000 | Disposed |
| Nov. 15, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $2.15 | Dec. 18, 2027 | 10,000 | Disposed |
| Nov. 15, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.43 | June 19, 2024 | 39,000 | Disposed |
| Nov. 10, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.35 | Jan. 9, 2027 | 25,000 | Disposed |
| Nov. 9, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.35 | Jan. 9, 2027 | 25,000 | Disposed |
| Oct. 27, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.35 | Jan. 9, 2027 | 20,000 | Disposed |
| Oct. 26, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.35 | Jan. 9, 2027 | 20,000 | Disposed |
| Oct. 15, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.43 | June 19, 2024 | 48,124 | Disposed |
| Oct. 15, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.23 | May 23, 2023 | 106,876 | Disposed |
| Sept. 15, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.23 | May 23, 2023 | 155,000 | Disposed |
| Aug. 19, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $1.35 | Jan. 9, 2027 | 20,000 | Disposed |
| Aug. 16, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.23 | May 23, 2023 | 38,124 | Disposed |
| Aug. 16, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.15 | Aug. 21, 2022 | 116,876 | Disposed |
| July 14, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $2.15 | Dec. 18, 2027 | 10,000 | Disposed |
| July 13, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $2.15 | Dec. 18, 2027 | 10,000 | Disposed |
| March 20, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $125.28 | March 20, 2031 | 50,824 | Acquired |
| March 5, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock | $2.15 | Dec. 18, 2027 | 10,000 | Disposed |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.15 | Aug. 21, 2022 | 3,124 | Disposed |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | Common Stock | $0.15 | May 11, 2022 | 210,000 | Disposed |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 14 holdings
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| Dec. 15, 2020 | UPST | Common Stock | 200,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | 210,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | 120,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | 300,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | 270,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | 200,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | 160,864 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | 89,136 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | 64,583 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | 235,417 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | 150,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | 200,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | 150,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | 200,000 | Direct |