Darling Scott's Form 4/A amendment
AmendedUpstart Holdings, Inc. (UPST) · filed Oct 28, 2025
- Accession no.
- 0001558259-25-000010
- Filed
- Oct 28, 2025
- Trade date
- Feb 28, 2025
- Filing delay
- 242 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Mar 4, 2025
This filing lists 1 non-derivative transaction. It carries over 10 transactions from the original filing that it did not restate. Open-market sales total $1.15M. It was filed 242 days after the trade.
This amendment restates part of 0001628280-25-010166 (filed Mar 4, 2025). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Darling ScottCIK 0001558259 | Officer (Chief Legal Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 28, 2025 | Common Stock | GGiftDisposed | −750 | $0.00 | $0 | 149,379 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001628280-25-010166 (filed Mar 4, 2025).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 28, 2025 | Common Stock | MOption exerciseAcquired | +7,564 | $13.22 | +$99,996.08 | 150,970 | Direct | |
| Feb 28, 2025 | Common Stock | SSaleDisposed | −6,407 | $64.68F3 | −$414,404.76 | 144,563 | Direct | |
| Feb 28, 2025 | Common Stock | SSaleDisposed | −8,681 | $65.46F4 | −$568,258.26 | 135,882 | Direct | |
| Feb 28, 2025 | Common Stock | SSaleDisposed | −419 | $64.65 | −$27,088.35 | 135,463 | Direct | |
| Feb 28, 2025 | Common Stock | AGrant or awardAcquired | +14,666 | $0.00 | $0 | 150,129 | Direct | |
| Mar 3, 2025 | Common Stock | MOption exerciseAcquired | +2,000 | $13.22 | +$26,440 | 152,129 | Direct | |
| Mar 3, 2025 | Common Stock | SSaleDisposed | −2,000 | $67.89F6 | −$135,780 | 150,129 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 28, 2025 | Common Stock | MOption exerciseDisposed | −7,564 | $0.00 | $0 | 228,527 | Direct | |
| Feb 28, 2025 | Common Stock | AGrant or awardAcquired | +27,864 | $0.00 | $0 | 27,864 | Direct | |
| Mar 3, 2025 | Common Stock | MOption exerciseDisposed | −2,000 | $0.00 | $0 | 226,527 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.06 to $65.05. 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 sold at each separate price within the ranges set forth in footnotes (3) , (4) and (6) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.07 to $66.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.62 to $68.24.
Referenced by the price of 1 transaction in Table I.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This Form 4/A is being filed to report a gift of shares that was inadvertently omitted from a previously filed Form 4. The transaction occurred on February 28, 2025, but was not included in the original Form 4 filed on March 4, 2025. The omission was unintentional, and this amendment is being filed to correct the reporting of the total beneficial ownership accordingly.
- F2
Certain of the securities reported in Column 5 of each row of Table I 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.
- F3
The number of shares beneficially owned was as of February 28, 2025.