Welcome to our dedicated page for Upstream Bio SEC filings (Ticker: UPB), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Upstream Bio, Inc. (NASDAQ: UPB) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as it advances verekitug, a monoclonal antibody targeting the thymic stromal lymphopoietin (TSLP) receptor, through clinical development. As a clinical-stage biotechnology company, Upstream Bio uses SEC reports to communicate trial progress, financial results, and other material information relevant to shareholders.
Recent Form 8-K filings referenced by the company include announcements of quarterly financial results and business highlights, as well as the furnishing of press releases and presentations. For example, an 8-K dated August 6, 2025, furnished a press release summarizing second quarter financial results and updates on Phase 2 trials in CRSwNP, severe asthma, and COPD. Another 8-K dated November 5, 2025, furnished third quarter results and program progress, while an 8-K dated September 2, 2025, furnished the press release and presentation describing positive top-line data from the VIBRANT Phase 2 CRSwNP trial.
Through these filings, investors can see how Upstream Bio reports collaboration revenue, research and development expenses related to verekitug, general and administrative expenses, and net loss figures, as well as balance sheet items such as cash, cash equivalents, and short-term investments. The filings also describe the design and endpoints of key clinical trials when they are the subject of a furnished press release.
On Stock Titan, these documents are supplemented with AI-powered summaries that highlight the main points of each filing, helping readers quickly understand what changed in a given quarter or event filing. Users can review 8-Ks tied to clinical data releases, financial updates, and other corporate communications, and use this information alongside news and price data when evaluating UPB.
Upstream Bio, Inc. reported that CFO and COO Michael Gray sold 853 shares of common stock at $6.10 per share. After this transaction, he directly holds 28,795 shares. According to the disclosure, the sale was automatic under a sell-to-cover policy to satisfy tax withholding on vested restricted stock units.
Upstream Bio, Inc. Chief Executive Officer Everett Rand Sutherland reported an open-market sale of 2,095 shares of common stock at $6.10 per share. According to the filing, these shares were sold automatically under the company’s sell-to-cover policy to satisfy tax withholding obligations tied to vesting restricted stock units, not at the CEO’s discretion. Following this tax-related sale, he directly holds 70,812 shares of Upstream Bio common stock.
Upstream Bio, Inc. Chief Business Officer Adam Houghton reported an automatic sale of common stock tied to tax withholding on vested restricted stock units. He sold 700 shares at $6.10 per share under the company’s sell-to-cover policy, which executes sales without his discretion. After this transaction, he directly holds 23,601 shares of Upstream Bio common stock, so the filing reflects tax-related administration rather than a discretionary change in his investment position.
Upstream Bio, Inc. reported that Chief Medical Officer Aaron Deykin sold 895 shares of common stock at $6.10 per share on June 16, 2026. According to the company’s sell-to-cover policy, these shares were sold automatically to cover tax withholding on vested restricted stock units and were not sold at his discretion.
After this transaction, Deykin directly holds 33,197 shares of Upstream Bio common stock, which includes 1,405 shares previously acquired under the company’s 2024 Employee Stock Purchase Plan.
Upstream Bio, Inc. General Counsel Allison Ambrose reported an automatic sale of common stock tied to tax withholding on vested restricted stock units. On this transaction date, 477 shares were sold at $6.10 per share under a company "sell-to-cover" policy, and Ambrose held 16,048 shares of common stock afterward.
Upstream Bio, Inc. director Marcella K. Ruddy received a grant of 17,096 stock options to buy common stock at an exercise price of $6.69 per share. The options vest in full on the earlier of June 9, 2027 or the next annual stockholder meeting, and she holds 17,096 options after this grant.
Upstream Bio, Inc. director Ronald C. Renaud Jr. received a grant of stock options covering 17,096 shares of common stock. The options have an exercise price of $6.6900 per share and expire on June 8, 2036.
These options vest in full on the earlier of June 9, 2027 or the date of the company’s next Annual Meeting of Stockholders, subject to his continued service. Following this grant, he holds 17,096 derivative securities directly.
Upstream Bio, Inc. director Harold Edward Fleming reported a grant of stock options covering 17,096 shares of common stock, with an exercise price of $6.69 per share and expiration on June 8, 2036. The options vest in full on June 9, 2027 or the next annual stockholder meeting and are held for the benefit of Enavate Sciences, LP, with Mr. Fleming disclaiming beneficial ownership.
Upstream Bio, Inc. director Daniella Beckman received a grant of stock options covering 17,096 shares of common stock. The options have an exercise price of $6.69 per share and expire on June 8, 2036. Following this grant, she holds 17,096 derivative securities directly.
These options will vest in full on the earlier of June 9, 2027 or the date of the company’s next Annual Meeting of Stockholders, provided she continues to serve through the vesting date. This filing reflects a compensation-related award rather than an open-market transaction.
Upstream Bio, Inc. director Liam Ratcliffe reported receiving a grant of stock options. The award covers 17,096 options to buy common stock at an exercise price of $6.69 per share, expiring on June 8, 2036. Following this grant, he holds 17,096 derivative securities of this type directly.
According to the terms, the shares underlying this option will vest in full on the earlier of June 9, 2027 or the date of the company’s next Annual Meeting of Stockholders, provided he continues serving through the vesting date. This is a compensation-related grant rather than an open-market purchase or sale.