Affiliate sale of 7,982 Upstart shares (UPST) via Charles Schwab

Rhea-AI Filing Summary

Upstart Holdings, Inc. notice of a proposed sale under Form 144 for common stock filed with a broker on 05/15/2026. The filing lists a restricted stock lapse and shows 7,982 shares associated with Sanjay Datta and an aggregate amount of $238,375.00. The transaction was routed through Charles Schwab & Co., Inc. and is described as equity compensation.

Insights

Securities Compliance Attorney

Form 144 documents a proposed resale by an affiliate following a restricted stock lapse.

Form 144 is the notice an affiliate files when proposing to sell restricted or control securities in reliance on Rule 144. The excerpt shows a restricted stock lapse and lists broker details, the seller name, 7,982 shares, and an aggregate figure of $238,375.00.

Regulatory timing and actual sale execution depend on market arrangements and compliance with Rule 144 conditions; subsequent filings may show completed sales.

Key Figures

Shares listed for resale: 7,982 shares Aggregate amount shown: $238,375.00 Shares outstanding field: 95,711,569

3 metrics

Shares listed for resale 7,982 shares associated with Sanjay Datta, <date>05/15/2026</date>

Aggregate amount shown $238,375.00 reported alongside 7,982 shares in the filing

Shares outstanding field 95,711,569 value present in the filing line alongside the date <date>05/15/2026</date>

Key Terms

Restricted Stock Lapse, Form 144, Equity Compensation

3 terms

Restricted Stock Lapse regulatory

"Restricted Stock Lapse - See Remarks"

Form 144 regulatory

"Filer Information | 144: Filer Information"

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.

Equity Compensation financial

"05/15/2026 | Equity Compensation"

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.

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	1817	53707.00	95711569	05/15/2026	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	05/15/2026	Restricted Stock Lapse - See Remarks	Upstart Holdings, Inc.			1817	05/15/2026	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 300 San Mateo CA 94403	Upstart Holdings, Inc.	02/20/2026	7982	238375.00

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)

FAQ

What does UPST's Form 144 filed 05/15/2026 indicate?

It indicates a proposed resale of common stock by an affiliate following a restricted stock lapse. The filing lists 7,982 shares tied to Sanjay Datta and an aggregate amount of $238,375.00, processed through Charles Schwab.

Who is the reported seller on UPST's Form 144?

The filing names Sanjay Datta as the reporting person associated with the sale. The record includes an address in San Mateo, CA, and the transaction is labeled as equity compensation.

What type of securities are covered by this UPST filing?

The filing covers Common stock and references a Restricted Stock Lapse. The broker listed is Charles Schwab & Co., Inc. and the trade date shown is 05/15/2026.

Does Form 144 confirm the sale was completed for UPST?

Form 144 itself notifies the SEC of a proposed sale; it does not confirm completion. The excerpt shows proposed details: 7,982 shares and $238,375.00; a later report would show executed trades.