UPLD

SEC source: 0001094792-18-000002 · wf-form4_151561778760292.xml · nonDerivative · entry 2

MCDONALD JOHN T · CIK 0001094792 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,744,441

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on August 21, 2017, with an effective date of November 20, 2017.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.47, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder 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.

F4 · balance_after: Excludes 243,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 1,988,179 shares.

SEC source: 0001094792-18-000002 · wf-form4_151561778760292.xml · nonDerivative · entry 1

MCDONALD JOHN T · CIK 0001094792 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,758,288

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on August 21, 2017, with an effective date of November 20, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.575, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder 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.

SEC source: 0000899243-17-029014 · doc4.xml · nonDerivative · entry 3

WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner

ESW Capital, LLC · CIK 0001477025 · 10% owner

LIEMANDT JOSEPH · CIK 0001295389 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.20. 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.

F1 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned 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.

SEC source: 0001094792-17-000016 · wf-form4_151372550643683.xml · nonDerivative · entry 1

MCDONALD JOHN T · CIK 0001094792 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,811,941

F1 · kind: 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.

F2 · balance_after: Excludes 243,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 2,055,679 shares.

SEC source: 0001289889-17-000015 · wf-form4_151372544825977.xml · nonDerivative · entry 1

Hill Michael Douglass · CIK 0001289889 · CFO,Treasurer & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,205

F1 · kind: 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.

SEC source: 0001624067-17-000011 · wf-form4_151372534580319.xml · nonDerivative · entry 1

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 437,204

F1 · kind: 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.

SEC source: 0000899243-17-029014 · doc4.xml · nonDerivative · entry 2

WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner

ESW Capital, LLC · CIK 0001477025 · 10% owner

LIEMANDT JOSEPH · CIK 0001295389 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 360,000

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.26. 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.

F1 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned 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.

SEC source: 0000899243-17-029014 · doc4.xml · nonDerivative · entry 1

WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner

ESW Capital, LLC · CIK 0001477025 · 10% owner

LIEMANDT JOSEPH · CIK 0001295389 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 661,166

F1 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned 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.

SEC source: 0001094792-17-000014 · wf-form4_151320661432264.xml · nonDerivative · entry 3

MCDONALD JOHN T · CIK 0001094792 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,822,218

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on August 21, 2017, with an effective date of November 20, 2017.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.30 to $22.04, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder 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.

F5 · balance_after: Excludes 243,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 2,065,956 shares.

SEC source: 0001094792-17-000014 · wf-form4_151320661432264.xml · nonDerivative · entry 2

MCDONALD JOHN T · CIK 0001094792 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,834,282

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on August 21, 2017, with an effective date of November 20, 2017.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.42 to $22.52, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder 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.

SEC source: 0001094792-17-000014 · wf-form4_151320661432264.xml · nonDerivative · entry 1

MCDONALD JOHN T · CIK 0001094792 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,861,064

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on August 21, 2017, with an effective date of November 20, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.16 to $22.61, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder 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.

SEC source: 0001289889-17-000013 · wf-form4_151207711300140.xml · nonDerivative · entry 1

Hill Michael Douglass · CIK 0001289889 · CFO,Treasurer & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 266,488

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 26, 2017, with an effective date of September 15, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.00 to $24.88, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder 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.

SEC source: 0001094792-17-000012 · wf-form4_151138457791005.xml · nonDerivative · entry 2

MCDONALD JOHN T · CIK 0001094792 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,889,718

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on August 21, 2017, with an effective date of November 20, 2017.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.22 to $21.78, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder 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.

F4 · balance_after: Excludes 243,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 2,133,456 shares.

SEC source: 0001094792-17-000012 · wf-form4_151138457791005.xml · nonDerivative · entry 1

MCDONALD JOHN T · CIK 0001094792 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,922,022

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on August 21, 2017, with an effective date of November 20, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.18 to $21.4775, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder 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.

SEC source: 0001144204-17-060233 · tv479985_4.xml · nonDerivative · entry 2

AV Partners IX LLC · CIK 0001414047 · 10% owner

Austin Ventures IX LP · CIK 0001414045 · 10% owner

AUSTIN VENTURES X LP · CIK 0001447073 · 10% owner

AV Partners IX LP · CIK 0001414046 · 10% owner

AV Partners X, L.L.C. · CIK 0001522196 · 10% owner

AV Partners X, L.P. · CIK 0001522197 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Austin Ventures X, L.P.

Disclosed balance after: 0

F3 · kind: Austin Ventures X, L.P. ("AV X") made a pro rata distribution to its partners of 1,309,550 shares of common stock of the issuer for no consideration on November 16, 2017.

F4 · ownership.nature: Shares held directly by AV X. AV Partners X, L.P. ("AVP X LP"), the general partner of AV X, and AV Partners X, L.L.C. ("AVP X LLC"), the general partner AVP X LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV X. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP X LLC and may be deemed to share voting and dispositive power over the shares held by AV X. Such persons and entities disclaim beneficial ownership of shares held by AV X, except to the extent of any pecuniary interest therein.

SEC source: 0001144204-17-060233 · tv479985_4.xml · nonDerivative · entry 1

AV Partners IX LLC · CIK 0001414047 · 10% owner

Austin Ventures IX LP · CIK 0001414045 · 10% owner

AUSTIN VENTURES X LP · CIK 0001447073 · 10% owner

AV Partners IX LP · CIK 0001414046 · 10% owner

AV Partners X, L.L.C. · CIK 0001522196 · 10% owner

AV Partners X, L.P. · CIK 0001522197 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Austin Ventures IX, L.P.

Disclosed balance after: 0

F1 · kind: Austin Ventures IX, L.P. ("AV IX") made a pro rata distribution to its partners of 873,034 shares of common stock of the issuer for no consideration on November 16, 2017.

F2 · ownership.nature: Shares held directly by AV IX. AV Partners IX, L.P. ("AVP IX LP"), the general partner of AV IX, and AV Partners IX, L.L.C. ("AVP IX LLC"), the general partner AVP IX LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV IX. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP IX LLC and may be deemed to share voting and dispositive power over the shares held by AV IX. Such persons and entities disclaim beneficial ownership of shares held by AV IX, except to the extent of any pecuniary interest therein.

SEC source: 0001144204-17-060232 · tv479984_4.xml · nonDerivative · entry 2

AV Partners IX LLC · CIK 0001414047 · 10% owner

ARAGONA JOSEPH C · CIK 0001232296 · 10% owner

DEANGELIS KENNETH P · CIK 0001250010 · 10% owner

PACITTI CHRISTOPHER A · CIK 0001278614 · 10% owner

Siegel Philip S · CIK 0001414028 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Austin Ventures X, L.P.

Disclosed balance after: 0

F3 · kind: Austin Ventures X, L.P. ("AV X") made a pro rata distribution to its partners of 1,309,550 shares of common stock of the issuer for no consideration on November 16, 2017.

F4 · ownership.nature: Shares held directly by AV X. AV Partners X, L.P. ("AVP X LP"), the general partner of AV X, and AV Partners X, L.L.C. ("AVP X LLC"), the general partner AVP X LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV X. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP X LLC and may be deemed to share voting and dispositive power over the shares held by AV X. Such persons and entities disclaim beneficial ownership of shares held by AV X, except to the extent of any pecuniary interest therein.

SEC source: 0001144204-17-060232 · tv479984_4.xml · nonDerivative · entry 1

AV Partners IX LLC · CIK 0001414047 · 10% owner

ARAGONA JOSEPH C · CIK 0001232296 · 10% owner

DEANGELIS KENNETH P · CIK 0001250010 · 10% owner

PACITTI CHRISTOPHER A · CIK 0001278614 · 10% owner

Siegel Philip S · CIK 0001414028 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Austin Ventures IX, L.P.

Disclosed balance after: 0

F1 · kind: Austin Ventures IX, L.P. ("AV IX") made a pro rata distribution to its partners of 873,034 shares of common stock of the issuer for no consideration on November 16, 2017.

F2 · ownership.nature: Shares held directly by AV IX. AV Partners IX, L.P. ("AVP IX LP"), the general partner of AV IX, and AV Partners IX, L.L.C. ("AVP IX LLC"), the general partner AVP IX LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV IX. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP IX LLC and may be deemed to share voting and dispositive power over the shares held by AV IX. Such persons and entities disclaim beneficial ownership of shares held by AV IX, except to the extent of any pecuniary interest therein.

SEC source: 0001104659-17-069705 · a4.xml · nonDerivative · entry 2

THORNTON JOHN D · CIK 0001252914 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Austin Ventures X, L.P.

Disclosed balance after: 0

F3 · kind: Austin Ventures X, L.P. ("AV X") made a pro rata distribution to its partners of 1,309,550 shares of common stock of the issuer for no consideration on November 16, 2017.

F4 · ownership.nature: Shares held directly by AV X. AV Partners X, L.P. ("AVP X LP"), the general partner of AV X, and AV Partners X, L.L.C. ("AVP X LLC"), the general partner AVP X LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV X. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP X LLC and may be deemed to share voting and dispositive power over the shares held by AV X. Such persons and entities disclaim beneficial ownership of shares held by AV X, except to the extent of any pecuniary interest therein.

SEC source: 0001104659-17-069705 · a4.xml · nonDerivative · entry 1

THORNTON JOHN D · CIK 0001252914 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Austin Ventures IX, L.P.

Disclosed balance after: 0

F1 · kind: Austin Ventures IX, L.P. ("AV IX") made a pro rata distribution to its partners of 873,034 shares of common stock of the issuer for no consideration on November 16, 2017.

F2 · ownership.nature: Shares held directly by AV IX. AV Partners IX, L.P. ("AVP IX LP"), the general partner of AV IX, and AV Partners IX, L.L.C. ("AVP IX LLC"), the general partner AVP IX LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV IX. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP IX LLC and may be deemed to share voting and dispositive power over the shares held by AV IX. Such persons and entities disclaim beneficial ownership of shares held by AV IX, except to the extent of any pecuniary interest therein.

SEC source: 0001719895-17-000004 · wf-form4_151017469228586.xml · derivative · entry 1

Ross Joe · CIK 0001719895 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,414

Underlying: Common Stock · 18,414 shares

Expires 2027-11-07

F1 · derivative.exercise_date: The option vests and becomes exercisable in twelve equal monthly installments commencing on December 16, 2017.

SEC source: 0001289889-17-000011 · wf-form4_150767097168650.xml · nonDerivative · entry 4

Hill Michael Douglass · CIK 0001289889 · CFO,Treasurer & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,488

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 26, 2017, with an effective date of September 15, 2017.

F5 · price: These shares were sold in multiple transactions at a price of $22.00. The reporting person undertakes to provide to Upland Software, Inc., any security holder of Upland Software, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold.

SEC source: 0001289889-17-000011 · wf-form4_150767097168650.xml · nonDerivative · entry 3

Hill Michael Douglass · CIK 0001289889 · CFO,Treasurer & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,930

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 26, 2017, with an effective date of September 15, 2017.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.04, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder 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.

SEC source: 0001289889-17-000011 · wf-form4_150767097168650.xml · nonDerivative · entry 2

Hill Michael Douglass · CIK 0001289889 · CFO,Treasurer & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 296,430

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 26, 2017, with an effective date of September 15, 2017.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.045, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder 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.

SEC source: 0001289889-17-000011 · wf-form4_150767097168650.xml · nonDerivative · entry 1

Hill Michael Douglass · CIK 0001289889 · CFO,Treasurer & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,930

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 26, 2017, with an effective date of September 15, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.02, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder 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.

SEC source: 0001094792-17-000010 · wf-form4_150585323129134.xml · nonDerivative · entry 1

MCDONALD JOHN T · CIK 0001094792 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,957,218

F1 · kind: Shares withheld by the issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock awarded under the issuers 2014 Equity Incentive Plan. This is not an open market sale of securities.

F2 · balance_after: Excludes 243,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 2,200,956 shares

SEC source: 0001289889-17-000009 · wf-form4_150585333708033.xml · nonDerivative · entry 2

Hill Michael Douglass · CIK 0001289889 · CFO,Treasurer & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,488

F2 · kind: 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.

SEC source: 0001624067-17-000009 · wf-form4_150585316652508.xml · nonDerivative · entry 1

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 481,604

F1 · kind: Shares withheld by the issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock awarded under the issuers 2014 Equity Incentive Plan. This is not an open market sale of securities.

SEC source: 0001458635-17-000006 · wf-form4_150585450391880.xml · nonDerivative · entry 1

MAY DAVID · CIK 0001458635 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,500

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.91, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder 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 range.

SEC source: 0001289889-17-000009 · wf-form4_150585333708033.xml · nonDerivative · entry 1

Hill Michael Douglass · CIK 0001289889 · CFO,Treasurer & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,837

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.91, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder 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 range.

SEC source: 0000899243-17-022144 · doc4.xml · nonDerivative · entry 2

WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner

ESW Capital, LLC · CIK 0001477025 · 10% owner

LIEMANDT JOSEPH · CIK 0001295389 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,122,028

F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.12. 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.

F2 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned 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.

SEC source: 0000899243-17-022144 · doc4.xml · nonDerivative · entry 1

WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner

ESW Capital, LLC · CIK 0001477025 · 10% owner

LIEMANDT JOSEPH · CIK 0001295389 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,162,126

F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.50. 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.

F2 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned 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.

SEC source: 0000899243-17-021998 · doc4.xml · nonDerivative · entry 2

WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner

ESW Capital, LLC · CIK 0001477025 · 10% owner

LIEMANDT JOSEPH · CIK 0001295389 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,166,931

F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $21.99 to $22.38. 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.

F2 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned 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.

SEC source: 0000899243-17-021998 · doc4.xml · nonDerivative · entry 1

WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner

ESW Capital, LLC · CIK 0001477025 · 10% owner

LIEMANDT JOSEPH · CIK 0001295389 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,171,931

F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $22.41 to $23.03. 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.

F2 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned 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.

SEC source: 0000899243-17-021786 · doc4.xml · nonDerivative · entry 2

WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner

ESW Capital, LLC · CIK 0001477025 · 10% owner

LIEMANDT JOSEPH · CIK 0001295389 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,186,931

F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $22.09 to $22.79. 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.

F2 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned 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.

SEC source: 0000899243-17-021786 · doc4.xml · nonDerivative · entry 1

WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner

ESW Capital, LLC · CIK 0001477025 · 10% owner

LIEMANDT JOSEPH · CIK 0001295389 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,207,331

F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $22.20 to $22.71. 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.

F2 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned 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.

SEC source: 0001289889-17-000007 · wf-form4_150352042533472.xml · derivative · entry 2

Hill Michael Douglass · CIK 0001289889 · CFO,Treasurer & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,383

Underlying: Common Stock · 16,000 shares

Expires 2021-03-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: 25% of the shares subject to the Option vested on 3/16/2012, and the remaining shares subject to the Option vest in equal 36 installments on the 16th day of each month, in each case subject to the reporting person's continued employment through such vesting dates.

SEC source: 0001289889-17-000007 · wf-form4_150352042533472.xml · nonDerivative · entry 1

Hill Michael Douglass · CIK 0001289889 · CFO,Treasurer & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,837

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001624067-17-000007 · wf-form4_150352051949187.xml · derivative · entry 2

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,395

Underlying: Common Stock · 30,000 shares

Expires 2024-09-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: 10% of the shares subject to the option vest on 7/14/15, 20% of the shares subject to the option vest in 12 equal monthly installments beginning on 8/14/15, 30% of the shares subject to the option vest in 12 equal monthly installments beginning on 8/14/16, and 40% of the shares subject to the option vest in 12 equal monthly installments beginning on 8/14/17, in each case subject to the reporting person's continued employment through such vesting dates.

SEC source: 0001624067-17-000007 · wf-form4_150352051949187.xml · nonDerivative · entry 1

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 485,856

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001131058-17-000002 · wf-form4_150723398296848.xml · derivative · entry 1

COURTER STEPHEN E · CIK 0001131058 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,941

Underlying: Common Stock · 6,525 shares

Expires 2027-08-08

F1 · derivative.exercise_date: The option vests and becomes exercisable in twelve equal monthly installments commencing on June 16, 2017.

SEC source: 0001458635-17-000008 · wf-form4_150723386246875.xml · derivative · entry 1

MAY DAVID · CIK 0001458635 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,242

Underlying: Common Stock · 6,525 shares

Expires 2027-08-08

F1 · derivative.exercise_date: The option vests and becomes exercisable in twelve equal monthly installments commencing on June 16, 2017.

SEC source: 0001622461-17-000005 · wf-form4_150723379147586.xml · derivative · entry 1

Favaron Rodney C · CIK 0001622461 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,941

Underlying: Common Stock · 6,525 shares

Expires 2027-08-08

F1 · derivative.exercise_date: The option vests and becomes exercisable in twelve equal monthly installments commencing on June 16, 2017.

SEC source: 0000899243-17-018781 · doc4.xml · nonDerivative · entry 3

WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner

ESW Capital, LLC · CIK 0001477025 · 10% owner

LIEMANDT JOSEPH · CIK 0001295389 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,222,331

F1 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned 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.

SEC source: 0000899243-17-018781 · doc4.xml · nonDerivative · entry 2

WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner

ESW Capital, LLC · CIK 0001477025 · 10% owner

LIEMANDT JOSEPH · CIK 0001295389 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,260,831

F1 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned 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.

SEC source: 0000899243-17-018781 · doc4.xml · nonDerivative · entry 1

WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner

ESW Capital, LLC · CIK 0001477025 · 10% owner

LIEMANDT JOSEPH · CIK 0001295389 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,294,831

F1 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned 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.

SEC source: 0000899243-17-017297 · doc4.xml · nonDerivative · entry 1

WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner

ESW Capital, LLC · CIK 0001477025 · 10% owner

LIEMANDT JOSEPH · CIK 0001295389 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,313,611

F1 · ownership.direct: Wave Systems Corp. is a wholly-owned 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.

SEC source: 0001094792-17-000006 · wf-form4_149799202581907.xml · nonDerivative · entry 1

MCDONALD JOHN T · CIK 0001094792 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,966,161

F1 · kind: Shares withheld by the issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock awarded under the issuers 2014 Equity Incentive Plan. This is not an open market sale of securities.

F2 · balance_after: Excludes 243,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 2,209,899 shares.

SEC source: 0001624067-17-000005 · wf-form4_149799173791246.xml · nonDerivative · entry 1

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,856

F1 · kind: Shares withheld by the issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock awarded under the issuers 2014 Equity Incentive Plan. This is not an open market sale of securities.

SEC source: 0001289889-17-000005 · wf-form4_149799194904685.xml · nonDerivative · entry 1

Hill Michael Douglass · CIK 0001289889 · CFO,Treasurer & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,837

F1 · kind: Shares withheld by the issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock awarded under the issuers 2014 Equity Incentive Plan. This is not an open market sale of securities.