Filing Details
- Accession Number:
- 0001209191-14-068901
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-14 17:15:04
- Reporting Period:
- 2014-11-12
- Filing Date:
- 2014-11-14
- Accepted Time:
- 2014-11-14 17:15:04
- 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 |
|---|---|---|---|---|---|---|---|
| 1232296 | C Joseph Aragona | 300 W. Sixth Street, Ste. 2300 Austin TX 78701 | No | No | Yes | No | |
| 1250010 | P Kenneth Deangelis | 300 W. Sixth Street, Ste. 2300 Austin TX 78701 | No | No | Yes | No | |
| 1278614 | A Christopher Pacitti | 300 W. Sixth Street, Ste. 2300 Austin TX 78701 | No | No | Yes | No | |
| 1414028 | S Philip Siegel | 300 W. Sixth Street, Ste. 2300 Austin TX 78701 | No | No | Yes | No | |
| 1414047 | Av Partners Ix Llc | 300 W. Sixth Street, Ste. 2300 Austin TX 78701 | No | 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 | Austin Ventures X, L.P. |
| Common Stock | Acquisiton | 2014-11-12 | 383,286 | $0.00 | 1,131,108 | No | 4 | C | Indirect | Austin Ventures X, L.P. |
| Common Stock | Acquisiton | 2014-11-12 | 120,750 | $0.00 | 1,251,858 | No | 4 | C | Indirect | Austin Ventures X, L.P. |
| Common Stock | Acquisiton | 2014-11-12 | 57,692 | $12.00 | 1,309,550 | No | 4 | P | Indirect | 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 | Austin Ventures X, L.P. |
| No | 4 | C | Indirect | Austin Ventures X, L.P. |
| No | 4 | C | Indirect | Austin Ventures X, L.P. |
| No | 4 | P | Indirect | 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 | 255,524 | $0.00 | 255,524 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2014-11-12 | 383,286 | $0.00 | 383,286 | $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 | 0 | Direct |
Footnotes
- 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.
- 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.
- 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.
- 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.
- 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.
Billionaire Hedge Funds
