Sanjay Datta to sell Upstart shares (NASDAQ: UPST) — Form 144 notice

Rhea-AI Filing Summary

Sanjay Datta filed a notice under Form 144 reporting proposed sales of Upstart Holdings, Inc. common stock. The notice lists two reported resale transactions in May 2026: 1,817 shares on 05/15/2026 with $53,707.00 and 7,985 shares on 05/20/2026 with $229,740.00. The filing also records prior restricted stock lapses dated 02/20/2025 for 2,151 shares and 08/20/2025 for 12,849 shares, both tied to equity compensation.

Insights

Securities Compliance Attorney

Routine resale notice under Form 144 reporting specific share amounts and dates.

Form 144 is a notice of proposed sale by an affiliate or control person; it does not itself effect a sale. The excerpt lists two proposed resale entries in 05/2026 with exact share counts and dollar amounts and earlier restricted stock lapses in 2025.

Timing and settlement details are not included in the excerpt; subsequent transfer or broker reports would confirm executed trades. Public filings or broker confirmations would show when transactions were completed.

Key Figures

Proposed resale (May 15, 2026): 1,817 shares Proceeds reported (May 15, 2026): $53,707.00 Proposed resale (May 20, 2026): 7,985 shares +3 more

6 metrics

Proposed resale (May 15, 2026) 1,817 shares Proposed resale reported on <date>05/15/2026</date>

Proceeds reported (May 15, 2026) $53,707.00 Dollar amount paired with 1,817 shares on <date>05/15/2026</date>

Proposed resale (May 20, 2026) 7,985 shares Proposed resale reported on <date>05/20/2026</date>

Proceeds reported (May 20, 2026) $229,740.00 Dollar amount paired with 7,985 shares on <date>05/20/2026</date>

Restricted stock lapse (Feb 20, 2025) 2,151 shares Equity compensation vesting on <date>02/20/2025</date>

Restricted stock lapse (Aug 20, 2025) 12,849 shares Equity compensation vesting on <date>08/20/2025</date

Key Terms

Form 144, Restricted Stock Lapse, Equity Compensation

3 terms

Form 144 regulatory

"144: Securities Sold During The Past 3 Months"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Restricted Stock Lapse financial

"02/20/2025 | Restricted Stock Lapse"

Equity Compensation financial

"Equity Compensation Common | 08/20/2025"

Equity compensation is pay given to employees, executives or contractors in the form of company ownership—such as stock, stock options or restricted shares—rather than just cash. It matters to investors because it can align workers' incentives with shareholders (like paying someone in slices of the same pie they help grow), but it also increases the number of shares outstanding and company expenses, affecting ownership percentages and earnings per share.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 06/09/2026 - 04:14 PM Accepted by SEC EDGAR 06/09/2026 - 04:14 PM Learn about SEC filing dates

FAQ

What does Sanjay Datta's Form 144 for UPST report?

The filing reports proposed resales of Upstart common stock by Sanjay Datta. It lists 1,817 shares on 05/15/2026 ($53,707.00) and 7,985 shares on 05/20/2026 ($229,740.00), plus earlier restricted stock lapses in 2025.

Does Form 144 mean the shares were sold?

No, Form 144 is a notice of proposed sale under Rule 144. It permits resale under SEC rules but does not confirm execution; settlement or broker reports confirm whether the listed shares were sold.

What are the 2025 'Restricted Stock Lapse' entries in the filing?

They record equity-compensation vesting events: 2,151 shares on 02/20/2025 and 12,849 shares on 08/20/2025. These entries reflect share vesting tied to equity compensation, as shown in the excerpt.

Where can I verify if the proposed sales executed?

Execution is verifiable via subsequent broker reports, transaction confirmations, or amended SEC filings that list actual dispositions. The Form 144 excerpt itself lists proposed amounts and dates but not settlement confirmations.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Charles Schwab & Co., Inc. 3000 Schwab Way Westlake TX 76262	15000	456116.00	95711569	06/09/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	02/20/2025	Restricted Stock Lapse	Upstart Holdings, Inc.			2151	02/20/2025	Equity Compensation
Common	08/20/2025	Restricted Stock Lapse	Upstart Holdings, Inc.			12849	08/20/2025	Equity Compensation

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
SANJAY DATTA 2950 S. Delaware Street, Suite 410 San Mateo CA 94403	Upstart Holdings, Inc.	05/15/2026	1817	53707.00
SANJAY DATTA 2950 S. Delaware Street, Suite 410 San Mateo CA 94403	Upstart Holdings, Inc.	05/20/2026	7985	229740.00

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)