标题： Upstart 宣布拟定私募发行4亿2500万美元的2030年到期可转换优先票据 来源： business wire 网址： https://www.businesswire.com/news/home/20241111643622/en/Upstart-Announces-Proposed-Private-Offering-of-425000000-of-Convertible-Senior-Notes-Due-2030 https://bwnews.pr/4fmGZ5r 内文： Upstart Announces Proposed Private Offering of $425,000,000 of Convertible Senior Notes Due 2030 Upstart Holdings, Inc. (NASDAQ: UPST) today announced its intention to offer, subject to market conditions and other factors, $425,000,000 aggregate principal amount of Convertible Senior Notes due 2030 (the “notes”) in a private offering (the “offering”) to persons reasonably believed to be qualified institutional buyers pursuant to Rule 144A promulgated under the Securities Act of 1933, as amended (the “Securities Act”). Upstart also expects to grant the initial purchasers of the notes an option to purchase, within a 13-day period beginning on, and including, the date the notes are first issued, up to an additional $75,000,000 aggregate principal amount of the notes. The notes will be senior, unsecured obligations of Upstart, and will bear interest payable semi-annually in arrears. The notes will mature on November 15, 2030, unless earlier converted, repurchased or redeemed. The notes will be convertible into cash, shares of Upstart’s common stock, or a combination thereof, at Upstart’s election. The interest rate, initial conversion rate, and other terms of the notes will be determined at the time of pricing of the offering. Upstart intends to use the net proceeds from the offering for general corporate purposes, which may include the repayment or the retirement of existing debt. The notes will only be offered to persons reasonably believed to be qualified institutional buyers pursuant to Rule 144A promulgated under the Securities Act by means of a private offering memorandum. Neither the notes nor the shares of Upstart’s common stock potentially issuable upon conversion of the notes, if any, have been, or will be, registered under the Securities Act or the securities laws of any other jurisdiction, and unless so registered, may not be offered or sold in the United States, except pursuant to an applicable exemption from such registration requirements. This announcement is neither an offer to sell nor a solicitation of an offer to buy any of these securities and shall not constitute an offer, solicitation, or sale in any jurisdiction in which such offer, solicitation, or sale is unlawful. Upstart Holdings, Inc. (NASDAQ: UPST) 今日宣布其意图在符合市场条件和其他因素的前提下，於私人发行中提供总计4亿2500万美元的2023年到期的可转换优先票据（“票据”），并根据《1933年证券法》144A条款，向被合理认为合资格机构买家的人士发行（“发行”）。Upstart 也预期向票据的初始购买者授予选择权，使其在票据首次发行之日起包含的13天期间内，可额外购买总计至多7500万美元的票据。 该票据将为Upstart的高级无担保义务，并将按半年期支付拖欠利息。票据将於2030年11月15日到期，除非提前转换、回购或赎回。票据可按Upstart的选择，转换为现金、Upstart的普通股股票或两者的组合。票据的利率、初始转换率及其他条款将於定价时确定。 Upstart 打算将本次发行的净收益用於一般公司用途，可能包括偿还或清偿现有债务。 票据仅将向根据《证券法》144A条款合理认为为合资格机构买家的人士发行，通过私人发行备忘录提供。票据或Upstart普通股的可转换股票（如有）未在《证券法》或其他司法管辖区的证券法律下注册，除非注册，否则不得在美国境内发行或出售，除非根据适用的豁免条款。 本公告既非出售要约亦非购买邀约，也不构成在任何司法管辖区内的要约、邀约或销售，若此类行为在该司法管辖区属非法行为。 ----- Sent from JPTT on my Vivo V2124. --

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