Upstart Holdings Inc
For the period ended Dec 31, 2024. Filed Feb 14, 2025.
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FY2024 · Filed Feb 14, 2025
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Item 9B. Other Information
(c) Securities Trading Plans of Executive Officers and Directors
From time to time, some of the Company’s executive officers or directors may determine that it is advisable to diversify their investments for personal financial planning reasons or may seek liquidity for other reasons and may sell shares of common stock of the Company. To effect such sales, from time to time, some of the Company’s executive officers or directors may enter into trading plans that are designed to comply with the Company’s Insider Trading Policy and intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”).
During the quarter ended December 31, 2024, the following directors and officers (as defined in Rule 16a-1(f) of the Exchange Act) of the Company each adopted a “Rule 10b5-1 trading arrangement” (as defined in Item 408(a) of Regulation S-K):
Name and title of officer: Scott Darling, Chief Legal Officer
Date ofadoption: November 27, 2024
Aggregate number of securities to be sold from time to time: up to 90,740 shares, plus any additional shares to be received upon the vesting of restricted stock units to occur on various dates within the duration of the trading arrangement, net of shares withheld to cover tax obligations upon the vesting, plus any shares purchased under the ESPP.
Name and title of officer: Natalia Mirgorodskaya, Chief Accounting Officer
Date ofadoption: November 25, 2024
Aggregate number of securities to be sold from time to time: up to 22,203 shares, plus any additional shares to be received upon the vesting of restricted stock units to occur on various dates within the duration of the trading arrangement, net of shares withheld to cover tax obligations upon the vesting.
Name ofdirector: Hilliard C. Terry III
Date ofadoption: November 26, 2024
Aggregate number of securities to be sold from time to time: up to 60,000 shares.
During the quarter ended December 31, 2024, the following officer (as defined in Rule 16a-1(f) of the Exchange Act) of the Company terminated a “Rule 10b5-1 trading arrangement” (as defined under Item 408(a) of Regulation S-K).
Name and title of officer: Scott Darling, Chief Legal Officer
Date oftermination: November 25, 2024
Duration of the trading arrangement: Through May 30, 2025 or earlier if all transactions under the trading arrangement are completed
Aggregate number of securities to be sold from time to time: up to 257,877 shares, plus any additional shares to be received upon the vesting of restricted stock units to occur on various dates within the duration of the trading arrangement, net of shares withheld to cover tax obligations upon the vesting, plus any shares purchased under the ESPP.
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