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  4. [144] Upstart Holdings, Inc. SEC Filing

Upstart (NASDAQ: UPST) officer lines up $251K stock sale tied to restricted stock units

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
144

Rhea-AI Filing Summary

Upstart Holdings, Inc. (UPST) received a Rule 144 notice from officer Sanjay Datta covering potential sales of common stock. The notice registers intent to sell 8,945 shares of common stock through Charles Schwab with an aggregate market value of $251,298.00 as of 08/20/2026 on NASDAQ. These shares relate to equity compensation, with remarks stating that shares have been sold to cover tax obligations from settlement of vested restricted stock units. The filing also lists multiple UPST share sales by Sanjay Datta over the prior three months.

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Shares to be sold 8,945 shares Common stock covered by Rule 144 notice dated 08/20/2026
Aggregate market value of shares to be sold $251,298.00 Value of 8,945 UPST shares as of 08/20/2026 under the notice
Shares sold 05/20/2026 7,985 shares for $229,740.00 UPST shares sold by Sanjay Datta during past 3 months
Shares sold 06/09/2026 15,000 shares for $456,116.00 UPST shares sold by Sanjay Datta during past 3 months
Shares sold 08/17/2026 2,033 shares for $59,683.00 UPST shares sold by Sanjay Datta during past 3 months
Shares sold 08/19/2026 10,000 shares for $314,633.00 UPST shares sold by Sanjay Datta during past 3 months
Date of Notice 08/20/2026 Date of Sanjay Datta’s Rule 144 notice for UPST shares
Rule 144 regulatory
"See the definition of "person" in paragraph (a) of Rule 144."
Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.
Restricted Stock Lapse financial
"Common | 08/20/2026 | Restricted Stock Lapse - See Remarks"
Restricted Stock Units financial
"Shares sold to cover tax obligation from settlement of vested Restricted Stock Units."
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
Equity Compensation financial
"8945 | 08/20/2026 | 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.

FAQ

What does the Form 144 filing by UPST officer Sanjay Datta disclose?
It discloses Sanjay Datta’s intent under Rule 144 to sell 8,945 shares of Upstart Holdings, Inc. common stock, with an aggregate market value of $251,298.00 as of 08/20/2026, in connection with equity compensation and tax obligations on vested restricted stock units.

How many UPST shares are covered by this new Rule 144 notice?
The notice covers 8,945 shares of Upstart Holdings, Inc. common stock to be sold, associated with equity compensation and a restricted stock lapse dated 08/20/2026.

What prior UPST share sales by Sanjay Datta are reported in the last three months?
The filing reports four prior sales: 7,985 shares for $229,740.00 on 05/20/2026; 15,000 shares for $456,116.00 on 06/09/2026; 2,033 shares for $59,683.00 on 08/17/2026; and 10,000 shares for $314,633.00 on 08/19/2026.

What reason is given for Sanjay Datta’s UPST share sales?
The remarks state that shares were sold to cover tax obligation arising from the settlement of vested Restricted Stock Units, indicating the sales are linked to equity compensation events.

On which market and through which broker may the UPST shares be sold?
The shares are listed for potential sale on NASDAQ through Charles Schwab & Co., Inc., with the Rule 144 notice tying the 8,945 shares of Upstart Holdings, Inc. common stock to that brokerage.

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

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144: Filer Information

144: Issuer Information

144: Securities Information



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


* 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

144: Remarks and Signature

Source: View Original Filing on SEC EDGAR