CUSIP No. 91680M107
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b),(c) AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. 1)1
Upstart Holdings, Inc.
(Name of Issuer)
Common Stock, $0.0001 par value
(Title of Class of Securities)
91680M107
(CUSIP Number)
December 31, 2021
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
1 The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.
1
CUSIP No. 91680M107
| 1. | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (VOLUNTARY)
Stone Ridge Trust V, on behalf of its series, Stone Ridge Alternative Lending Risk Premium Fund
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2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) [ ]
(b) [ ]
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3. |
SEC USE ONLY
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4. |
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5. |
SOLE VOTING POWER
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0
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6. |
SHARED VOTING POWER
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0
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7. |
SOLE DISPOSITIVE POWER
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0
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8. |
SHARED DISPOSITIVE POWER
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0
| ||||||
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9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED
|
0 | ||||||
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10. |
CHECK BOX IF THE
AGGREGATE AMOUNT IN
|
[ ] | ||||||
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11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
0 | ||||||
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12.
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TYPE OF REPORTING PERSON
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IV | ||||||
2
CUSIP No. 91680M107
| 1. | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (VOLUNTARY)
Stone Ridge Asset Management LLC
|
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2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) [ ]
(b) [ ]
| ||||||
|
3. |
SEC USE ONLY
|
|||||||
|
4. |
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
|||||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5. |
SOLE VOTING POWER
|
0
| |||||
|
6. |
SHARED VOTING POWER
|
0
| ||||||
|
7. |
SOLE DISPOSITIVE POWER
|
0
| ||||||
|
8. |
SHARED DISPOSITIVE POWER
|
0
| ||||||
|
9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED
|
0 | ||||||
|
10. |
CHECK BOX IF THE
AGGREGATE AMOUNT IN
|
[ ] | ||||||
|
11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
0 | ||||||
|
12.
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TYPE OF REPORTING PERSON
|
IA | ||||||
3
CUSIP No. 91680M107
| 1. | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (VOLUNTARY)
Stone Ridge Holdings Group LP
|
|||||||
|
2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) [ ]
(b) [ ]
| ||||||
|
3. |
SEC USE ONLY
|
|||||||
|
4. |
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
|||||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5. |
SOLE VOTING POWER
|
0
| |||||
|
6. |
SHARED VOTING POWER
|
0
| ||||||
|
7. |
SOLE DISPOSITIVE POWER
|
0
| ||||||
|
8. |
SHARED DISPOSITIVE POWER
|
0
| ||||||
|
9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED
|
0 | ||||||
|
10. |
CHECK BOX IF THE
AGGREGATE AMOUNT IN
|
[ ] | ||||||
|
11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
0 | ||||||
|
12.
|
TYPE OF REPORTING PERSON
|
PN | ||||||
4
CUSIP No. 91680M107
| 1. | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (VOLUNTARY)
Stone Ridge Holdings Group (GP) LLC
|
|||||||
|
2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) [ ]
(b) [ ]
| ||||||
|
3. |
SEC USE ONLY
|
|||||||
|
4. |
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
|||||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5. |
SOLE VOTING POWER
|
0
| |||||
|
6. |
SHARED VOTING POWER
|
0
| ||||||
|
7. |
SOLE DISPOSITIVE POWER
|
0
| ||||||
|
8. |
SHARED DISPOSITIVE POWER
|
0
| ||||||
|
9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED
|
0 | ||||||
|
10. |
CHECK BOX IF THE
AGGREGATE AMOUNT IN
|
[ ] | ||||||
|
11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
0 | ||||||
|
12.
|
TYPE OF REPORTING PERSON
|
OO | ||||||
5
CUSIP No. 91680M107
| 1. | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (VOLUNTARY)
Ross Stevens
|
|||||||
|
2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) [ ]
(b) [ ]
| ||||||
|
3. |
SEC USE ONLY
|
|||||||
|
4. |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
|||||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5. |
SOLE VOTING POWER
|
0
| |||||
|
6. |
SHARED VOTING POWER
|
0
| ||||||
|
7. |
SOLE DISPOSITIVE POWER
|
0
| ||||||
|
8. |
SHARED DISPOSITIVE POWER
|
0
| ||||||
|
9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED
|
0 | ||||||
|
10. |
CHECK BOX IF THE
AGGREGATE AMOUNT IN
|
[ ] | ||||||
|
11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
0 | ||||||
|
12.
|
TYPE OF REPORTING PERSON
|
IN, HC | ||||||
6
CUSIP No. 91680M107
AMENDMENT NO. 1 TO SCHEDULE 13G (FINAL AMENDMENT)
Reference is hereby made to the statement on Schedule 13G filed with the Securities and Exchange Commission by the Reporting Persons with respect to the Common Stock, $0.0001 par value, of the Issuer on January 27, 2021 (the “Schedule 13G”). Terms used in the Schedule 13G are used herein as so defined.
The following items of the Schedule 13G are hereby amended and restated as follows:
| ITEM 4 |
OWNERSHIP: | |
| The information requested in this item is incorporated herein by reference to the cover pages to this Amendment No. 1 to Schedule 13G. | ||
| ITEM 5 |
OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: | |
| If this statement is being filed to report the fact that the Reporting Persons have ceased to be the beneficial owners of more than five percent of the Common Stock, check the following: [X] | ||
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CUSIP No. 91680M107
SIGNATURE
After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
Dated: January 13, 2022
| STONE RIDGE TRUST V | ||
| By: | /s/ Ross Stevens | |
| Name: | Ross Stevens | |
| Title: | President | |
| STONE RIDGE ASSET MANAGEMENT LLC | ||
| By: | /s/ Ross Stevens | |
| Name: | Ross Stevens | |
| Title: | Chief Executive Officer | |
| STONE RIDGE HOLDINGS GROUP LP | ||
| By: | /s/ Ross Stevens | |
| Name: | Ross Stevens | |
| Title: | Manager of Stone Ridge Holdings Group (GP) LLC, its General Partner | |
| STONE RIDGE HOLDINGS GROUP (GP) LLC | ||
| By: | /s/ Ross Stevens | |
| Name: | Ross Stevens | |
| Title: | Manager | |
| ROSS STEVENS |
| /s/ Ross Stevens |
| Ross Stevens, individually |
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