Filing Details
- Accession Number:
- 0001094792-18-000008
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-20 17:46:20
- Reporting Period:
- 2018-03-16
- Accepted Time:
- 2018-03-20 17:46:20
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1505155 | Upland Software Inc. | UPLD | () | 4 |
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 | Disposition | 2018-03-19 | 10,000 | $28.24 | 233,738 | No | 4 | S | Indirect | By MLPF&S as Cust. FBO J. McDonald IRA |
| Common Stock | Disposition | 2018-03-16 | 4,735 | $28.62 | 1,622,206 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By MLPF&S as Cust. FBO J. McDonald IRA |
| No | 4 | F | Direct |
Footnotes
- Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on August 21, 2017, with an effective date of March 19, 2018.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.95 to $28.64, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any securityholder of Upland Software, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
- Shares withheld by the issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock awarded under the issuer's 2014 Equity Incentive Plan. This is not an open market sale of securities.
- Excludes 233,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 1,855,944 shares.
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