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Stock Administration Overview

Welcome to the Upstart Stock Administration Page!

If you are interested in learning more about your Stock Options, Restricted Stock Units (RSUs) or the Employee Stock Purchase Plan (ESPP) this page is intended to provide you with information to help you gain a better understanding of your Upstart Equity.

The Stock Administration team is here to support you and answer any questions that you may have around the equity that you were awarded. Please explore the links below for additional information.

Trading Window Updates

Trading Window Current Status	Open Trading Window
Closed	February 12 to February 20 & March 4 to March 10*

*The dates above and the below calendar (click to expand) are tentative and based on the date of Upstart’s quarterly earnings release. The first trading day of the open trading window begins at market open on the second trading day following the date of earnings release. Trading Window FAQs

The open trading window is broken down into two separate blocks of available trading time, with an interim blackout period, meant to protect employees under our Insider Trading Policy so that we may provide investors more transparency to our business via monthly origination volume results. For more information visit Insider Trading and Equity.

As a reminder, the trading window status determines what type of market transaction is permitted. Please keep this in mind for your personal financial planning.

Trading Window Status	Exercise and Hold (Cash Exercise)	Exercise and Sell (Cashless)	Sell-to-Cover (Cashless)	Selling RSU shares and ESPP shares	Buy or Sell other UPST shares
Open	✓	✓	✓	✓	✓
Closed	✓