Filing Details
- Accession Number:
- 0001062993-15-006738
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-12-18 11:19:43
- Reporting Period:
- 2015-12-15
- Filing Date:
- 2015-12-18
- Accepted Time:
- 2015-12-18 11:19:43
- 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 |
---|---|---|---|---|---|---|---|
1295389 | Joseph Liemandt | 401 Congress Ave., Suite 2650 Austin TX 78701 | No | No | Yes | No | |
1477025 | Esw Capital, Llc | 401 Congress Ave., Suite 2650 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 | 2015-12-15 | 50,000 | $6.70 | 2,138,131 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2015-12-16 | 4,100 | $6.95 | 2,142,231 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2015-12-17 | 5,844 | $6.98 | 2,148,075 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,803,574 | Indirect | See footnote |
Footnotes
- These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein.
- These shares are held directly by Acorn Performance Group, Inc. ("Acorn"), a controlled subsidiary of ESW. Each of Mr. Liemandt and ESW disclaims Section 16 beneficial ownership of the shares held by Acorn, except to the extent, if any, of their respective pecuniary interest therein.