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

Names of
reporting persons

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

Wave Systems Corp.

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

(a)  ☐        (b)  ☒

SEC use only

Source of funds (see instructions)

    OO

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

Citizenship or place of
organization

    Delaware

Number of

shares

beneficially

owned by

each

reporting

person

with:

Sole voting power

    2,313,611

Shared voting power

Sole dispositive power

    2,313,611

Shared dispositive power

Aggregate amount beneficially owned by each reporting person

    2,313,611

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

Percent of class represented by amount
in Row (11)

    12.5%

Type of reporting person (see
instructions)

    CO