Gu Paul — SEC Form 4 filings
SEC reporting owner CIK 1832812. 36 Form 4 filings on record with FilingPulse; latest filed 2026-09-10.
Transaction summary — filings shown
Covers all 36 filings on record, filed 2024-02-20 to 2026-09-10. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 4 legs across 3 filings — 200,000 shares, $6,575,300 total (shares × price as filed).
- Open-market sales (code S, non-derivative): 49 legs across 23 filings — 780,125 shares, $38,576,133 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 85.
- Largest priced transaction: purchase of 80,000 shares @ $39.23 ($3,138,400) in Upstart Holdings, Inc., filed 2025-11-13.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| Upstart Holdings, Inc. (UPST) | Chief Executive Officer, Director | 36 | 4 legs · 200,000 sh · $6,575,300 | 49 legs · 780,125 sh · $38,576,133 | 85 |
Form 4 filings — Gu Paul
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-09-10 | 4 | Upstart Holdings, Inc. (UPST) | Purchase (P): 50,000 @ $25.55 | EDGAR |
| 2026-05-14 | 4 | Upstart Holdings, Inc. (UPST) | Purchase (P): 50,000 @ $27.50 | EDGAR |
| 2026-03-03 | 4 | Upstart Holdings, Inc. (UPST) | Grant/award (A): 912,702 (derivative) @ $0 | EDGAR |
| 2025-11-13 | 4 | Upstart Holdings, Inc. (UPST) | Purchase (P): 20,000 @ $39.22 · Purchase (P): 80,000 @ $39.23 | EDGAR |
| 2025-09-04 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 2,500 @ $3.80 · Option exercise (M): 2,500 @ $8.88 · Sale (S): 2,663 @ $68.35 · Sale (S): 2,337 @ $68.91 · Option exercise (M): 2,500 (derivative) @ $3.80 · Option exercise (M): 2,500 (derivative) @ $8.88 | EDGAR |
| 2025-06-20 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 25,000 @ $3.80 · Option exercise (M): 25,000 (derivative) @ $3.80 | EDGAR |
| 2025-05-21 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 25,000 @ $3.80 · Option exercise (M): 25,000 (derivative) @ $0 | EDGAR |
| 2025-04-16 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 25,000 @ $3.80 · Option exercise (M): 25,000 (derivative) @ $0 | EDGAR |
| 2025-03-10 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 13,269 @ $15.23 · Option exercise (M): 4,844 @ $25.75 · Option exercise (M): 13,269 @ $15.23 · Option exercise (M): 4,844 @ $25.75 · Option exercise (M): 13,269 (derivative) @ $0 · Option exercise (M): 4,844 (derivative) @ $0 · +2 more | EDGAR |
| 2025-03-04 | 4 | Upstart Holdings, Inc. (UPST) | Grant/award (A): 29,331 @ $0 · Grant/award (A): 55,728 (derivative) @ $0 | EDGAR |
| 2025-02-24 | 4 | Upstart Holdings, Inc. (UPST) | Sale (S): 11,607 @ $79.00 · Sale (S): 400 @ $79.56 | EDGAR |
| 2025-02-04 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 17,500 @ $3.80 · Option exercise (M): 6,566 @ $15.23 · Option exercise (M): 17,500 (derivative) @ $0 · Option exercise (M): 6,566 (derivative) @ $0 | EDGAR |
| 2025-01-15 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 30,792 @ $2.15 · Option exercise (M): 30,792 (derivative) @ $0 | EDGAR |
| 2025-01-10 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 50,000 @ $2.15 · Option exercise (M): 50,000 (derivative) @ $0 | EDGAR |
| 2024-12-31 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 50,000 @ $2.15 · Option exercise (M): 50,000 (derivative) @ $0 | EDGAR |
| 2024-12-06 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 28,155 @ $1.17 · Sale (S): 28,155 @ $75.06 · Option exercise (M): 4,019 @ $1.17 · Sale (S): 4,019 @ $75.00 · Option exercise (M): 40,226 @ $1.17 · Sale (S): 35,876 @ $75.37 · +4 more | EDGAR |
| 2024-12-04 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 87,600 @ $1.17 · Sale (S): 17,456 @ $67.70 · Sale (S): 23,109 @ $68.52 · Sale (S): 17,614 @ $69.49 · Sale (S): 21,039 @ $70.41 · Sale (S): 5,782 @ $71.26 · +2 more | EDGAR |
| 2024-11-27 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 58,786 @ $1.17 · Sale (S): 35,715 @ $75.51 · Sale (S): 22,935 @ $76.59 · Sale (S): 136 @ $77.25 · Option exercise (M): 58,786 (derivative) @ $0 | EDGAR |
| 2024-11-22 | 4 | Upstart Holdings, Inc. (UPST) | Sale (S): 11,476 @ $69.59 · Sale (S): 4,024 @ $70.45 · Option exercise (M): 4,583 @ $1.17 · Option exercise (M): 16,631 @ $1.17 · Sale (S): 21,214 @ $75.03 · Option exercise (M): 4,583 (derivative) @ $0 · +1 more | EDGAR |
| 2024-11-19 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 5,000 @ $1.17 · Option exercise (M): 60,000 @ $1.17 · Sale (S): 16,274 @ $65.43 · Sale (S): 28,425 @ $66.53 · Sale (S): 17,775 @ $67.44 · Sale (S): 2,426 @ $68.46 · +3 more | EDGAR |
| 2024-10-15 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 20,000 @ $1.17 · Sale (S): 20,000 @ $50.26 · Option exercise (M): 20,000 (derivative) @ $0 | EDGAR |
| 2024-10-08 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 8,800 @ $1.17 · Sale (S): 8,800 @ $40.10 · Option exercise (M): 8,800 (derivative) @ $0 | EDGAR |
| 2024-10-03 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 36,200 @ $1.17 · Sale (S): 30,050 @ $39.07 · Sale (S): 6,150 @ $39.94 · Option exercise (M): 36,200 (derivative) @ $0 | EDGAR |
| 2024-09-05 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 25,864 @ $1.17 · Option exercise (M): 19,136 @ $1.17 · Sale (S): 7,174 @ $39.48 · Sale (S): 7,571 @ $40.74 · Sale (S): 30,255 @ $41.21 · Option exercise (M): 25,864 (derivative) @ $0 · +1 more | EDGAR |
| 2024-08-21 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 10,000 @ $1.17 · Sale (S): 10,000 @ $40.01 · Sale (S): 15,864 @ $38.31 · Sale (S): 200 @ $38.93 · Option exercise (M): 10,000 (derivative) @ $0 | EDGAR |
| 2024-08-19 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 35,000 @ $1.17 · Sale (S): 32,117 @ $36.97 · Sale (S): 2,883 @ $37.79 · Option exercise (M): 35,000 (derivative) @ $0 | EDGAR |
| 2024-07-17 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 10,000 @ $1.17 · Sale (S): 10,000 @ $30.05 · Option exercise (M): 10,000 (derivative) @ $0 | EDGAR |
| 2024-07-15 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 10,000 @ $1.17 · Sale (S): 10,000 @ $25.88 · Option exercise (M): 10,000 (derivative) @ $0 | EDGAR |
| 2024-07-03 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 5,000 @ $1.17 · Sale (S): 5,000 @ $23.52 · Option exercise (M): 5,000 (derivative) @ $0 | EDGAR |
| 2024-06-05 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 15,000 @ $1.17 · Sale (S): 15,000 @ $25.20 · Option exercise (M): 15,000 (derivative) @ $0 | EDGAR |
| 2024-05-21 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 16,164 @ $8.88 · Sale (S): 15,131 @ $25.61 · Option exercise (M): 16,164 (derivative) @ $0 | EDGAR |
| 2024-05-16 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 30,000 @ $0.60 · Option exercise (M): 50,000 @ $1.17 · Sale (S): 40,306 @ $29 · Sale (S): 39,694 @ $30.04 · Option exercise (M): 30,000 (derivative) @ $0 · Option exercise (M): 50,000 (derivative) @ $0 | EDGAR |
| 2024-04-03 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 60,000 @ $0.60 · Sale (S): 60,000 @ $26.31 · Option exercise (M): 60,000 (derivative) @ $0 | EDGAR |
| 2024-03-04 | 4 | Upstart Holdings, Inc. (UPST) | Grant/award (A): 61,201 @ $0 · Option exercise (M): 30,000 @ $0.60 · Sale (S): 28,703 @ $25.64 · Sale (S): 1,297 @ $26.16 · Grant/award (A): 116,281 (derivative) @ $0 · Option exercise (M): 30,000 (derivative) @ $0 | EDGAR |
| 2024-02-22 | 4 | Upstart Holdings, Inc. (UPST) | Sale (S): 16,423 @ $25.28 | EDGAR |
| 2024-02-20 | 4 | Upstart Holdings, Inc. (UPST) | Option exercise (M): 30,000 @ $0.60 · Sale (S): 30,000 @ $26.50 · Option exercise (M): 30,000 (derivative) @ $0 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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