Filing Details

Accession Number:
0001209191-14-068910
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-11-14 17:17:36
Reporting Period:
2014-11-12
Filing Date:
2014-11-14
Accepted Time:
2014-11-14 17:17:36
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1505155 Upland Software Inc. UPLD Services-Prepackaged Software (7372) 272992077
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1252914 D John Thornton 300 W. Sixth Street, Ste. 2300
Austin TX 78701
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-11-12 498,548 $0.00 498,548 No 4 C Indirect By Austin Ventures IX, L.P.
Common Stock Acquisiton 2014-11-12 255,524 $0.00 754,072 No 4 C Indirect By Austin Ventures IX, L.P.
Common Stock Acquisiton 2014-11-12 80,500 $0.00 834,572 No 4 C Indirect By Austin Ventures IX, L.P.
Common Stock Acquisiton 2014-11-12 38,462 $12.00 873,034 No 4 P Indirect By Austin Ventures IX, L.P.
Common Stock Acquisiton 2014-11-12 747,822 $0.00 747,822 No 4 C Indirect By Austin Ventures X, L.P.
Common Stock Acquisiton 2014-11-12 383,286 $0.00 1,131,108 No 4 C Indirect By Austin Ventures X, L.P.
Common Stock Acquisiton 2014-11-12 120,750 $0.00 1,251,858 No 4 C Indirect By Austin Ventures X, L.P.
Common Stock Acquisiton 2014-11-12 57,692 $12.00 1,309,550 No 4 P Indirect By Austin Ventures X, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By Austin Ventures IX, L.P.
No 4 C Indirect By Austin Ventures IX, L.P.
No 4 C Indirect By Austin Ventures IX, L.P.
No 4 P Indirect By Austin Ventures IX, L.P.
No 4 C Indirect By Austin Ventures X, L.P.
No 4 C Indirect By Austin Ventures X, L.P.
No 4 C Indirect By Austin Ventures X, L.P.
No 4 P Indirect By Austin Ventures X, L.P.
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Preferred Stock Disposition 2014-11-12 498,548 $0.00 498,548 $0.00
Common Stock Series A Preferred Stock Disposition 2014-11-12 747,822 $0.00 747,822 $0.00
Common Stock Series B Preferred Stock Disposition 2014-11-12 383,286 $0.00 383,286 $0.00
Common Stock Series B Preferred Stock Disposition 2014-11-12 255,524 $0.00 255,524 $0.00
Common Stock Series C Preferred Stock Disposition 2014-11-12 80,500 $0.00 80,500 $0.00
Common Stock Series C Preferred Stock Disposition 2014-11-12 120,750 $0.00 120,750 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 10,416 Direct
Footnotes
  1. The Series A Preferred Stock, which was convertible at any time and had no expiration date, converted into Upland Software, Inc. common stock on a one-for-one basis.
  2. Shares held directly by Austin Ventures IX, L.P. ("AV IX"). AV Partners IX, L.P. ("AVP IX LP"), the general partner of AV IX, and AV Partners IX, L.L.C. ("AVP IX LLC"), the general partner AVP IX LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV IX. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP IX LLC and may be deemed to share voting and dispositive power over the shares held by AV IX. Such persons and entities disclaim beneficial ownership of shares held by AV IX, except to the extent of any pecuniary interest therein.
  3. The Series B Preferred Stock, which was convertible at any time and had no expiration date, converted into Upland Software, Inc. common stock on a one-for-one basis.
  4. The Series C Preferred Stock, which was convertible at any time and had no expiration date, converted into Upland Software, Inc. common stock on a one-for-one basis.
  5. Shares held directly by Austin Ventures X, L.P. ("AV X"). AV Partners X, L.P. ("AVP X LP"), the general partner of AV X, and AV Partners X, L.L.C. ("AVP X LLC"), the general partner AVP X LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV X. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP X LLC and may be deemed to share voting and dispositive power over the shares held by AV X. Such persons and entities disclaim beneficial ownership of shares held by AV X, except to the extent of any pecuniary interest therein.