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
  1. 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.
  2. 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.