13D Filing: ESW Capital, LLC and Upland Software Inc. (UPLD)

Page 2 of 9 – SEC Filing


  (1) 

Names of
reporting persons.

I.R.S. Identification Nos. of above persons (entities only)

ESW Capital, LLC

  (2)

Check the appropriate box if a member
of a group (see instructions)

(a)  ☐        (b)  ☒

  (3)

SEC use only

  (4)

Source of funds (see instructions)

WC, AF

  (5)

Check if disclosure of legal
proceedings is required pursuant to Items 2(d) or 2(e)  ☐

  (6)

Citizenship or place of
organization

Delaware

Number of

shares

beneficially

owned by

each

reporting

person

with

  (7) 

Sole voting power

5,678,897

  (8)

Shared voting power

  (9)

Sole dispositive power

5,678,897

(10)

Shared dispositive power

(11)

Aggregate amount beneficially owned by each reporting person

5,678,897

(12)

Check if the aggregate amount in Row
(11) excludes certain shares (see instructions)  ☐

(13)

Percent of class represented by amount
in Row (11)

30.8%*

(14)

Type of reporting person (see
instructions)

OO

* Calculated based upon 18,437,943 shares of the Issuers common stock outstanding on May 5, 2017 as reported in the Issuers Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the
Securities and Exchange Commission on May 12, 2017.
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