Paul Gu
CIK 1832812 · View on SEC EDGAR ↗
Insider
First SEC filing: Dec. 15, 2020 · Latest: Dec. 15, 2020
On this page
Insider at
Insider transactions
0 buys (P)
0 sells (S)
Net:
$0
+ 24 non-open-market transactions below
last 12 months, based on the transactions shown below
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
24 other filings hidden
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Oct. 15, 2021 | UPST | S 10b5-1 | 300 | $401.16 | $120,348 | 277,412 Direct | -0.11% | Disposed | -92.4% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 1,000 | $399.86 | $399,860 | 277,712 Direct | -0.36% | Disposed | -92.4% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 1,900 | $399.06 | $758,214 | 278,712 Direct | -0.68% | Disposed | -92.4% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 6,200 | $398.10 | $2,468,220 | 280,612 Direct | -2.16% | Disposed | -92.4% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 7,200 | $397.03 | $2,858,616 | 286,812 Direct | -2.45% | Disposed | -92.4% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 6,900 | $395.99 | $2,732,331 | 294,012 Direct | -2.29% | Disposed | -92.3% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 9,400 | $394.95 | $3,712,530 | 300,912 Direct | -3.03% | Disposed | -92.3% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 10,029 | $394.02 | $3,951,627 | 310,312 Direct | -3.13% | Disposed | -92.3% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 12,200 | $392.93 | $4,793,746 | 320,341 Direct | -3.67% | Disposed | -92.3% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 10,400 | $392.07 | $4,077,528 | 332,541 Direct | -3.03% | Disposed | -92.3% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 5,500 | $390.90 | $2,149,950 | 342,941 Direct | -1.58% | Disposed | -92.2% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 11,511 | $389.93 | $4,488,484 | 348,441 Direct | -3.20% | Disposed | -92.2% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 18,462 | $388.93 | $7,180,426 | 359,952 Direct | -4.88% | Disposed | -92.2% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 17,461 | $388.04 | $6,775,566 | 378,414 Direct | -4.41% | Disposed | -92.2% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 14,553 | $386.97 | $5,631,574 | 395,875 Direct | -3.55% | Disposed | -92.2% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 12,184 | $386.10 | $4,704,242 | 410,428 Direct | -2.88% | Disposed | -92.1% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 3,200 | $384.96 | $1,231,872 | 422,612 Direct | -0.75% | Disposed | -92.1% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 2,200 | $383.83 | $844,426 | 425,812 Direct | -0.51% | Disposed | -92.1% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 3,100 | $382.86 | $1,186,866 | 428,012 Direct | -0.72% | Disposed | -92.1% (price as of 2026-08-19) |
| Oct. 15, 2021 | UPST | S 10b5-1 | 1,300 | $381.90 | $496,470 | 431,112 Direct | -0.30% | Disposed | -92.1% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 2,140 | $277.20 | $593,208 | 277,412 Direct | -0.77% | Disposed | -89.1% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 1,600 | $276.19 | $441,904 | 279,552 Direct | -0.57% | Disposed | -89.0% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 12,600 | $275.52 | $3,471,552 | 281,152 Direct | -4.29% | Disposed | -89.0% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 8,200 | $274.17 | $2,248,194 | 293,752 Direct | -2.72% | Disposed | -88.9% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 24,950 | $273.30 | $6,818,835 | 301,952 Direct | -7.63% | Disposed | -88.9% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 12,079 | $272.32 | $3,289,353 | 326,902 Direct | -3.56% | Disposed | -88.9% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 13,667 | $271.26 | $3,707,310 | 338,981 Direct | -3.88% | Disposed | -88.8% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 20,075 | $270.23 | $5,424,867 | 352,648 Direct | -5.39% | Disposed | -88.8% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 9,206 | $269.26 | $2,478,808 | 372,723 Direct | -2.41% | Disposed | -88.7% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 12,171 | $268.24 | $3,264,749 | 381,929 Direct | -3.09% | Disposed | -88.7% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 11,437 | $267.23 | $3,056,310 | 394,100 Direct | -2.82% | Disposed | -88.6% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 9,933 | $266.21 | $2,644,264 | 405,537 Direct | -2.39% | Disposed | -88.6% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 6,446 | $265.31 | $1,710,188 | 415,470 Direct | -1.53% | Disposed | -88.6% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 4,373 | $264.12 | $1,154,997 | 421,916 Direct | -1.03% | Disposed | -88.5% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 1,817 | $263.15 | $478,144 | 426,289 Direct | -0.42% | Disposed | -88.5% (price as of 2026-08-19) |
| Sept. 15, 2021 | UPST | S 10b5-1 | 4,306 | $262.27 | $1,129,335 | 428,106 Direct | -1.00% | Disposed | -88.4% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 106 | $213.82 | $22,665 | 255,412 Direct | -0.04% | Disposed | -85.8% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 400 | $212.84 | $85,136 | 255,518 Direct | -0.16% | Disposed | -85.7% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 1,000 | $211.65 | $211,650 | 255,918 Direct | -0.39% | Disposed | -85.7% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 9,512 | $210.34 | $2,000,754 | 256,918 Direct | -3.57% | Disposed | -85.6% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 10,788 | $209.86 | $2,263,970 | 266,430 Direct | -3.89% | Disposed | -85.5% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 3,500 | $208.64 | $730,240 | 277,218 Direct | -1.25% | Disposed | -85.5% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 2,200 | $207.48 | $456,456 | 280,718 Direct | -0.78% | Disposed | -85.4% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 3,400 | $206.47 | $701,998 | 282,918 Direct | -1.19% | Disposed | -85.3% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 5,100 | $205.48 | $1,047,948 | 286,318 Direct | -1.75% | Disposed | -85.2% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 16,112 | $204.51 | $3,295,065 | 291,418 Direct | -5.24% | Disposed | -85.2% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 10,150 | $203.58 | $2,066,337 | 307,530 Direct | -3.20% | Disposed | -85.1% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 9,800 | $202.56 | $1,985,088 | 317,600 Direct | -2.99% | Disposed | -85.0% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 11,665 | $201.50 | $2,350,498 | 327,480 Direct | -3.44% | Disposed | -84.9% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 14,563 | $200.51 | $2,920,027 | 339,145 Direct | -4.12% | Disposed | -84.9% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 11,704 | $199.58 | $2,335,884 | 353,708 Direct | -3.20% | Disposed | -84.8% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 5,200 | $198.51 | $1,032,252 | 365,412 Direct | -1.40% | Disposed | -84.7% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 8,700 | $197.35 | $1,716,945 | 370,612 Direct | -2.29% | Disposed | -84.6% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 13,221 | $196.46 | $2,597,398 | 379,312 Direct | -3.37% | Disposed | -84.6% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 9,979 | $195.42 | $1,950,096 | 392,533 Direct | -2.48% | Disposed | -84.5% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 2,800 | $194.48 | $544,544 | 402,512 Direct | -0.69% | Disposed | -84.4% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 900 | $193.45 | $174,105 | 405,312 Direct | -0.22% | Disposed | -84.3% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 800 | $192.28 | $153,824 | 406,212 Direct | -0.20% | Disposed | -84.2% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 1,500 | $191.49 | $287,235 | 407,012 Direct | -0.37% | Disposed | -84.2% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 1,400 | $190.36 | $266,504 | 408,512 Direct | -0.34% | Disposed | -84.1% (price as of 2026-08-19) |
| Aug. 16, 2021 | UPST | S 10b5-1 | 500 | $189.29 | $94,645 | 409,912 Direct | -0.12% | Disposed | -84.0% (price as of 2026-08-19) |
| Dec. 18, 2020 | UPST | S | 213,124 | $18.60 | $3,964,106 | 200,000 Direct | -51.59% | Disposed | 63.2% (price as of 2026-08-19) |
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 |
|---|---|---|---|---|---|---|---|
| Oct. 15, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock (48,124) | $0.43 | June 19, 2024 | 48,124 | Disposed |
| Oct. 15, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock (106,876) | $0.23 | May 23, 2023 | 106,876 | Disposed |
| Sept. 15, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock (155,000) | $0.23 | May 23, 2023 | 155,000 | Disposed |
| Aug. 19, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock (20,000) | $1.35 | Jan. 9, 2027 | 20,000 | Disposed |
| Aug. 16, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock (38,124) | $0.23 | May 23, 2023 | 38,124 | Disposed |
| Aug. 16, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock (116,876) | $0.15 | Aug. 21, 2022 | 116,876 | Disposed |
| July 14, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock (10,000) | $2.15 | Dec. 18, 2027 | 10,000 | Disposed |
| July 13, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock (10,000) | $2.15 | Dec. 18, 2027 | 10,000 | Disposed |
| March 20, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock (50,824) | $125.28 | March 20, 2031 | 50,824 | Acquired |
| March 5, 2021 | UPST | Employee Stock Option (Right to buy) | Common Stock (10,000) | $2.15 | Dec. 18, 2027 | 10,000 | Disposed |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | Common Stock (3,124) | $0.15 | Aug. 21, 2022 | 3,124 | Disposed |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy) | Common Stock (210,000) | $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)→ Common Stock (210,000) | 210,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy)→ Common Stock (120,000) | 120,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy)→ Common Stock (300,000) | 300,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy)→ Common Stock (270,000) | 270,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy)→ Common Stock (200,000) | 200,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy)→ Common Stock (160,864) | 160,864 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy)→ Common Stock (89,136) | 89,136 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy)→ Common Stock (64,583) | 64,583 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy)→ Common Stock (235,417) | 235,417 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy)→ Common Stock (150,000) | 150,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy)→ Common Stock (200,000) | 200,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy)→ Common Stock (150,000) | 150,000 | Direct |
| Dec. 15, 2020 | UPST | Employee Stock Option (Right to buy)→ Common Stock (200,000) | 200,000 | Direct |