Welcome to our dedicated page for Upstart Holdings SEC filings (Ticker: UPST), 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.
Upstart Holdings, Inc. filings document the operating results, governance and capital structure of an AI lending marketplace listed on the Nasdaq Global Select Market under UPST. Its 8-K reports include quarterly and annual financial results, non-GAAP reconciliations, share repurchase activity, executive appointments and compensation arrangements, and material definitive agreements.
Proxy materials describe annual meeting matters such as director elections, stockholder voting procedures, board governance and executive compensation. Capital-structure filings include common stock disclosures and convertible senior notes issued under an indenture, including conversion, maturity, reporting-compliance and other note terms.
Wennes Timothy H reported acquisition or exercise transactions in this Form 4 filing.
Upstart Holdings director Timothy H. Wennes received a grant of 6,476 restricted stock units of common stock. The award was reported at a price of $0.00 per share because it is a compensation grant, not a market purchase. All 6,476 RSUs will vest on May 28, 2027, as long as he continues serving as a company service provider through that date. After this grant, he is reported as directly holding 6,476 shares tied to this award.
Terry Hilliard C. III reported acquisition or exercise transactions in this Form 4 filing.
Upstart Holdings, Inc. director Terry Hilliard C. III received an equity grant of 6,476 shares of Common Stock in the form of restricted stock units (RSUs) on May 29, 2026. Each RSU represents a contingent right to one share of Common Stock. The RSUs will vest 100% on the earlier of May 29, 2027 or the day prior to Upstart’s 2027 annual meeting of stockholders, as long as he continues as a service provider through that date. Following this grant, his direct holdings increased to 37,432 shares of Common Stock.
Hentges Mary reported acquisition or exercise transactions in this Form 4 filing.
Upstart Holdings director Mary Hentges received a grant of 6,476 restricted stock units (RSUs), each representing one share of Common Stock at no cash cost. All RSUs are scheduled to vest 100% on the earlier of May 29, 2027 or the day before Upstart’s 2027 annual stockholder meeting, as long as she continues as a service provider. Following this award, her directly held position reported in the filing is 37,149 shares.
Bernard Peter J reported acquisition or exercise transactions in this Form 4 filing.
Upstart Holdings, Inc. director Peter J. Bernard reported receiving a grant of 6,476 restricted stock units (RSUs), each representing one share of common stock at no cash cost. After this award, his direct holdings total 11,392 shares or share-equivalent RSUs.
The RSUs are scheduled to vest 100% on the earlier of May 29, 2027, or the day prior to Upstart’s 2027 annual meeting of stockholders, assuming he continues as a service provider through that date. This is a compensation-related equity grant rather than an open‑market purchase.
Cooper Kerry Whorton reported acquisition or exercise transactions in this Form 4 filing.
Upstart Holdings, Inc. director Kerry Whorton Cooper reported a new equity award and updated share holdings. She received 6,476 restricted stock units (RSUs), each representing a right to one share of common stock. The RSUs vest 100% on the earlier of May 29, 2027 or the day before Upstart’s 2027 annual stockholder meeting, if she continues as a service provider.
After this grant, she holds 6,476 shares directly, plus indirect holdings of 27,707 shares in the Edward and Kerry Cooper Living Trust and 2,000 shares in her Individual Retirement Account. A footnote notes that 4,314 shares were recently deposited into the living trust.
O'Kelly Ciaran reported acquisition or exercise transactions in this Form 4 filing.
Upstart Holdings director Ciaran O’Kelly received an equity grant of 6,476 restricted stock units. These RSUs vest 100% on the earlier of May 29, 2027 or the day before the company’s 2027 annual shareholder meeting, if he continues as a service provider. Following this award, he directly holds 39,484 shares of common stock.
Upstart Holdings, Inc. director Timothy H. Wennes filed an initial Form 3, which is the SEC’s baseline disclosure of his insider status and ownership in the company. The filing reports no buy, sell, or other insider transactions in Upstart shares.
Upstart Holdings, Inc. reported the results of its annual stockholder meeting held on May 28, 2026. Stockholders elected Class III directors Kerry Cooper, Mary Hentges, and Ciaran O’Kelly to serve until the 2029 annual meeting or until their successors are elected and qualified.
Stockholders ratified the appointment of Deloitte & Touche LLP as independent registered public accounting firm for the fiscal year ending December 31, 2026. They also approved, on an advisory non-binding basis, the compensation of the Company’s named executive officers.
Upstart Holdings, Inc. officer Natalia Mirgorodskaya reported an open-market sale of Common Stock. On May 26, 2026, she sold 974 shares at a price of $28.99 per share.
After this transaction, she directly holds 37,374 shares of Upstart Holdings, Inc. common stock.
Upstart Holdings, Inc. is the subject of a Form 144 notice showing proposed sale activity in its common stock. The filing lists 974 shares of common stock associated with a restricted stock lapse dated 05/20/2026, with Charles Schwab & Co., Inc. named as broker. The filing also records two prior dispositions by Natalia Mirgorodskaya: 390 shares on 03/02/2026 and 526 shares on 05/20/2026.