Filing Details
- Accession Number:
- 0001622461-20-000008
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-21 16:03:05
- Reporting Period:
- 2020-12-17
- Accepted Time:
- 2020-12-21 16:03:05
- 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 |
|---|---|---|---|---|---|---|---|
| 1622461 | C Rodney Favaron | 401 Congress Ave., Suite 1850 Austin TX 78701 | Co-President And Cco | No | Yes | No | 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 | 2020-12-17 | 10,884 | $7.74 | 173,809 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-17 | 15,929 | $7.79 | 189,738 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-17 | 26,813 | $47.00 | 162,925 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-12-17 | 4,603 | $7.74 | 167,528 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-17 | 10,862 | $47.00 | 156,666 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2020-12-17 | 10,884 | $0.00 | 10,884 | $7.74 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-12-17 | 15,929 | $0.00 | 15,929 | $7.79 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-12-17 | 4,603 | $0.00 | 4,603 | $7.74 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 4,603 | 2026-08-08 | No | 4 | M | Direct | |
| 0 | 2025-11-09 | No | 4 | M | Direct | |
| 0 | 2026-08-08 | No | 4 | M | Direct |
Footnotes
- Shares were sold pursuant to shareholder's 10b5-1 trading plan.
- Currently exercisable.
Billionaire Hedge Funds
