Upstart officer Sanjay Datta proposes $2.95M sale

Available on EDGAR 11/13/2026 - 05:35 PM EST Accepted by SEC EDGAR 11/13/2026 - 05:35 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Upstart Holdings, Inc. (UPST) officer Sanjay Datta reported a proposed sale of 150,000 common shares, with an approximate sale date of November 13, 2026, and an aggregate market value of $2,953,103.00.

The securities table lists 20,000 shares acquired through a restricted stock lapse on November 20, 2025, and 130,000 shares acquired through an employee stock option exercise on November 13, 2026. The past-three-months sales table records Datta’s sale of 116,000 shares on September 8, 2026, for gross proceeds of $3,166,196.00; it also lists sales on August 17, 19 and 20.

Key Figures

Proposed sale: 150,000 common shares Aggregate market value: $2,953,103.00 Shares outstanding: 98,908,658 shares +4 more

7 metrics

Proposed sale 150,000 common shares Approximate sale date: November 13, 2026

Aggregate market value $2,953,103.00 Proposed sale of 150,000 common shares

Shares outstanding 98,908,658 shares Number listed in the securities information

Restricted stock lapse acquisition 20,000 shares Acquisition date: November 20, 2025

Employee stock option exercise 130,000 shares Acquisition date: November 13, 2026

Prior sale 116,000 shares Sale date: September 8, 2026

Gross proceeds $3,166,196.00 Sale on September 8, 2026

Key Terms

Restricted Stock Lapse, Employee Stock Option Exercise, Cashless Exercise

3 terms

Restricted Stock Lapse technical

"20,000 shares acquired through a restricted stock lapse"

Employee Stock Option Exercise financial

"130,000 shares acquired through an employee stock option exercise"

Cashless Exercise financial

"Broker Payment for Cashless Exercise"

A cashless exercise is a way for an option holder to convert stock options into actual shares without paying the purchase price in cash; instead they immediately give up a portion of the newly issued shares to cover the cost and any withholding taxes. Investors care because this process increases the number of shares available and can slightly dilute existing holdings, while also signaling how insiders or employees are realizing compensation without needing cash — similar to paying for a purchase by handing over part of what you just bought.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many UPST shares did Sanjay Datta propose to sell?

Sanjay Datta reported a proposed sale of 150,000 UPST common shares, with an approximate sale date of November 13, 2026, and an aggregate market value of $2,953,103.00.

What prior UPST sales did Sanjay Datta report?

The past-three-months table lists 2,033 shares sold on August 17, 2026, for $59,683.00; 10,000 shares on August 19 for $314,633.00; 8,945 shares on August 20 for $251,298.00; and 116,000 shares on September 8 for $3,166,196.00 in gross proceeds.

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

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

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	0001832808
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	Upstart Holdings, Inc.
SEC File Number	001-39797
Address of Issuer	220 PARK ROAD SUITE 500 BURLINGAME CALIFORNIA 94010
Phone	(650) 204-1000
Name of Person for Whose Account the Securities are To Be Sold	Datta Sanjay
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	Officer

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	150000	2953103.00	98908658	11/13/2026	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	11/20/2025	Restricted Stock Lapse -See Remarks	Upstart Holdings, Inc.			20000	11/20/2025	Equity Compensation
Common	11/13/2026	Employee Stock Option Exercise	Upstart Holdings, Inc.			130000	11/13/2026	Broker Payment for Cashless Exercise

* 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 220 Park Road, Suite 500 Burlingame CA 94010	Upstart Holdings, Inc.	08/17/2026	2033	59683.00
SANJAY DATTA 220 Park Road, Suite 500 Burlingame CA 94010	Upstart Holdings, Inc.	08/19/2026	10000	314633.00
SANJAY DATTA 220 Park Road, Suite 500 Burlingame CA 94010	Upstart Holdings, Inc.	08/20/2026	8945	251298.00
SANJAY DATTA 220 Park Road, Suite 500 Burlingame CA 94010	Upstart Holdings, Inc.	09/08/2026	116000	3166196.00

144: Remarks and Signature

Remarks	Long shares on this filing were acquired and paid for from 11/20/2025 through 08/20/2026.
Date of Notice	11/13/2026
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	SANJAY DATTA
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)