COUNSELMAN ANNA M.

PrivateCIK: 1832809

Location

SAN MATEO, CA

COUNSELMAN ANNA M. enters UPSTART HOLDINGS, INC. with 44.50K shares plus derivative instruments

Holding both equity and derivatives at entry signals strong long-term conviction in the company.

Direct Derivatives

COUNSELMAN ANNA M.

Filed: 12/15/2020ACC: 0001209191-20-063622

InsiderCOUNSELMAN ANNA M.CIK 1832809

→

IssuerUPSTART HOLDINGS, INC.CIK 1647639

Officer· SVP, People and Operations

Since Dec 2020

44.50K

Baseline shares

100% direct

44.50K

Direct ownership

1 position

1.44M

Derivative underlying

9 instruments

1

Security positions

All direct

Non-Derivative Holdings1

Common Stock

Direct

Shares owned44.50K

Total

44.50K direct44.50K

Security Title	Shares Owned	Ownership Type
Common Stock	44.50K	Direct
Total	44.50K	44.50K direct

Derivative Holdings9

Employee Stock Option (Right to buy)

Direct

Underlying security

Common Stock

Underlying shares

385.50K

Shares owned

N/A

Exercise price

0.15

Expiration

—

Exercise window

—

Employee Stock Option (Right to buy)

Direct

Underlying security

Common Stock

Underlying shares

125K

Shares owned

N/A

Exercise price

8.88

Expiration

—

Exercise window

—

Employee Stock Option (Right to buy)

Direct

Underlying security

Common Stock

Underlying shares

125K

Shares owned

N/A

Exercise price

1.17

Expiration

—

Exercise window

—

Employee Stock Option (Right to buy)

Direct

Underlying security

Common Stock

Underlying shares

100K

Shares owned

N/A

Exercise price

2.15

Expiration

—

Exercise window

—

Employee Stock Option (Right to buy)

Direct

Underlying security

Common Stock

Underlying shares

150K

Shares owned

N/A

Exercise price

0.60

Expiration

—

Exercise window

—

Employee Stock Option (Right to buy)

Direct

Underlying security

Common Stock

Underlying shares

125K

Shares owned

N/A

Exercise price

1.35

Expiration

—

Exercise window

—

Employee Stock Option (Right to buy)

Direct

Underlying security

Common Stock

Underlying shares

25K

Shares owned

N/A

Exercise price

3.80

Expiration

—

Exercise window

—

Employee Stock Option (Right to buy)

Direct

Underlying security

Common Stock

Underlying shares

100K

Shares owned

N/A

Exercise price

3.80

Expiration

—

Exercise window

—

Employee Stock Option (Right to buy)

Direct

Underlying security

Common Stock

Underlying shares

300K

Shares owned

N/A

Exercise price

0.23

Expiration

—

Exercise window

—

Total

Underlying

1.44M

Owned

0.00

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Employee Stock Option (Right to buy) Direct	Common Stock	0.15	—	—	385.50K	N/A
Employee Stock Option (Right to buy) Direct	Common Stock	8.88	—	—	125K	N/A
Employee Stock Option (Right to buy) Direct	Common Stock	1.17	—	—	125K	N/A
Employee Stock Option (Right to buy) Direct	Common Stock	2.15	—	—	100K	N/A
Employee Stock Option (Right to buy) Direct	Common Stock	0.60	—	—	150K	N/A
Employee Stock Option (Right to buy) Direct	Common Stock	1.35	—	—	125K	N/A
Employee Stock Option (Right to buy) Direct	Common Stock	3.80	—	—	25K	N/A
Employee Stock Option (Right to buy) Direct	Common Stock	3.80	—	—	100K	N/A
Employee Stock Option (Right to buy) Direct	Common Stock	0.23	—	—	300K	N/A
Total					1.44M	0.00

COUNSELMAN ANNA M. — Initial Ownership Disclosure (Form 3) Filed Dec 15, 2020 | Finecho