Pre-clearance Process
Upstart's Insider Trading Policy requires certain roles to obtain pre-clearance by Upstart’s Legal Department for any equity transactions that you place outside of a 10b5-1 plan. You can complete the pre-clearance form by submitting a Jira ticket using the below instructions.
Disclaimer: If you are included on the pre-clearance list, you will have received prior communication indicating as such. If you would like to confirm your status, please contact stock-administration@Upstart.com.
How to submit Pre-clearance Request Ticket through Jira Portal
- Access the Stock Administration Service Desk
- Select Equity Trading Pre-clearance Request
You will be asked to provide the following information:
- First and Last Name
- Title at Upstart
- Proposed Trade Type(e.g., Sell Shares, Exercise Options and Hold, etc.)
- # of shares
- Manner of Trade
- Proposed dates during which you will trade ("Trade Window")
Once your request has been submitted, the responsible attorney will review it and either “Approve” or “Decline” your request, which you will be able to see within the ticket.
You can find more information about stock administration here.