Filing Details
- Accession Number:
- 0001209191-14-068906
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-14 17:16:34
- Reporting Period:
- 2014-11-12
- Filing Date:
- 2014-11-14
- Accepted Time:
- 2014-11-14 17:16:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1094792 | T John Mcdonald | 401 Congress Ave., Ste 1850 Austin TX 78701 | Ceo | Yes | Yes | 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 | 373,911 | $0.00 | 1,685,916 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-11-12 | 11,200 | $0.00 | 1,697,116 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-11-12 | 96,154 | $12.00 | 1,793,270 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2014-11-12 | 163,961 | $0.00 | 163,961 | No | 4 | C | Indirect | By MLPF&S as Cust. FBO J. McDonald IRA |
| Common Stock | Acquisiton | 2014-11-12 | 79,777 | $0.00 | 243,738 | No | 4 | C | Indirect | By MLPF&S as Cust. FBO J. McDonald IRA |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | P | Direct | |
| No | 4 | C | Indirect | By MLPF&S as Cust. FBO J. McDonald IRA |
| No | 4 | C | Indirect | By MLPF&S as Cust. FBO J. McDonald IRA |
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 | 373,911 | $0.00 | 373,911 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2014-11-12 | 11,200 | $0.00 | 11,200 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2014-11-12 | 163,961 | $0.00 | 163,961 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2014-11-12 | 79,777 | $0.00 | 79,777 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
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.
- 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.
Billionaire Hedge Funds
