Filing Details

Accession Number:
0000899243-18-023375
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-08-28 16:18:06
Reporting Period:
2018-08-24
Accepted Time:
2018-08-28 16:18:06
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1505155 Upland Software Inc. UPLD Communications Equipment, Nec (3669) DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1137204 Epm Live, Inc. 401 Congress Ave., Suite 2650
Austin TX 78701
No No No Yes
1295389 Joseph Liemandt 401 Congress Avenue, Suite 2650
Austin TX 78701
No No Yes No
1477025 Esw Capital, Llc 401 Congress Avenue, 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 Disposition 2018-08-24 5,000 $35.41 854,400 No 4 S Direct
Common Stock Disposition 2018-08-27 854,400 $34.85 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,803,574 Indirect See Footnote
Footnotes
  1. Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.45. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
  2. These shares are held directly by EPM Live, Inc. ("EPM"), a controlled subsidiary of ESW Capital, LLC ("ESW"). The sole voting member of ESW is Joseph A. Liemandt ("Mr. Liemandt"). Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any.
  3. Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $34.85 to $35.13. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
  4. These shares represent 1,803,574 shares directly held by Acorn Performance Group, Inc. ("Acorn"). Acorn is a controlled subsidiary of ESW. Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any.