Upstart director Wennes Timothy H files Form 3

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.

Rhea-AI Filing Summary

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.

Key Terms

Form 3, reportingPersons, transactionSummary

3 terms

Form 3 regulatory

"INSIDER FILING DATA (Form 3):"

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

reportingPersons regulatory

""reportingPersons": ["

transactionSummary financial

""transactionSummary": {"

FAQ

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

What does the Upstart (UPST) Form 3 filed by Timothy H. Wennes show?

The Form 3 shows that Timothy H. Wennes is a director of Upstart Holdings, Inc. It serves as his initial insider ownership report and indicates there were no reported purchases, sales, or other share transactions in this filing.

Did Timothy H. Wennes buy or sell Upstart (UPST) shares in this Form 3?

No, the Form 3 for Timothy H. Wennes reports zero buy, sell, exercise, gift, tax-withholding, or restructuring transactions. It functions purely as an initial statement of insider status without any contemporaneous trading activity disclosed.

Why is Timothy H. Wennes listed as a reporting person for Upstart (UPST)?

He is listed as a reporting person because he is a director of Upstart Holdings, Inc. Directors are insiders under SEC rules and must file ownership reports such as Form 3, even when they are not reporting specific transactions in the company’s stock.

Does this Upstart (UPST) Form 3 include any derivative securities activity?

No, the filing shows no derivative transactions and an empty derivativeSummary. It also records zero option or other derivative exercises, meaning there is no options-related activity disclosed for Timothy H. Wennes in this initial Form 3.

What is the overall insider trading activity reported for Upstart (UPST) in this Form 3?

The filing shows no insider trading activity. All transaction counts and share amounts, including buys, sells, exercises, gifts, tax withholdings, and restructurings, are zero, indicating this is strictly an initial insider status report for the director.

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

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Accepted by SEC EDGAR 06/02/2026 - 04:31 PM EDT Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Wennes Timothy H

(Last) (First) (Middle)

C/O UPSTART HOLDINGS, INC.

2950 S. DELAWARE STREET, SUITE 410

(Street)

SAN MATEO CALIFORNIA 94403

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
05/28/2026

3. Issuer Name and Ticker or Trading Symbol
Upstart Holdings, Inc. [ UPST ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

Remarks:

Exhibit 24.2 - Power of Attorney

No securities are beneficially owned.

	/s/ Steven Madrid, by power of attorney	06/02/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)