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Nasdaq · USD

UPLD

Upland Software, Inc.

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7891
SEC CIK
0001505155
Parsed reports
372

Last 12 months

Inside the activity.

0 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202601
Aug 202605
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 17, 2018 Filed Oct 9, 2018 21:05 UTC
MCDONALD JOHN TDirector · CEO
GiftCommon Stock 3,000 $0.00 $0.00
Disclosure

SEC source: 0001094792-18-000025 · wf-form4_153911914003947.xml · nonDerivative · entry 1

MCDONALD JOHN T · CIK 0001094792 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,583,222

Read SEC document
August 16, 2018 Filed Aug 20, 2018 16:22 UTC
EPM Live, Inc.Member of 10% owner group
SaleCommon Stock 25,469 $36.03 $917,637.88
Disclosure

SEC source: 0000899243-18-022804 · doc4.xml · nonDerivative · entry 2

EPM Live, Inc. · CIK 0001137204 · Member of 10% owner group

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: 874,053

F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $35.95 to $36.40. 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: 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.

Read SEC document
August 16, 2018 Filed Aug 20, 2018 16:22 UTC
EPM Live, Inc.Member of 10% owner group
SaleCommon Stock 45,377 $35.44 $1,608,047.44
Disclosure

SEC source: 0000899243-18-022804 · doc4.xml · nonDerivative · entry 1

EPM Live, Inc. · CIK 0001137204 · Member of 10% owner group

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: 899,522

F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $34.90 to $35.80. 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: 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.

Read SEC document
August 13, 2018 Filed Aug 13, 2018 17:19 UTC
EPM Live, Inc.Member of 10% owner group
SaleCommon Stock 5,377 $35.01 $188,252.00
Disclosure

SEC source: 0000899243-18-022148 · doc4.xml · nonDerivative · entry 5

EPM Live, Inc. · CIK 0001137204 · Member of 10% owner group

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: 944,899

F5 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $34.90 to $35.10. 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: 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.

Read SEC document
August 10, 2018 Filed Aug 13, 2018 17:19 UTC
EPM Live, Inc.Member of 10% owner group
SaleCommon Stock 4,123 $35.01 $144,326.03
Disclosure

SEC source: 0000899243-18-022148 · doc4.xml · nonDerivative · entry 4

EPM Live, Inc. · CIK 0001137204 · Member of 10% owner group

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: 950,276

F4 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $34.96 to $35.05. 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: 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.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 17:19 UTC
EPM Live, Inc.Member of 10% owner group
SaleCommon Stock 1 $38.00 $38.00
Disclosure

SEC source: 0000899243-18-022148 · doc4.xml · nonDerivative · entry 3

EPM Live, Inc. · CIK 0001137204 · Member of 10% owner group

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: 954,399

F2 · ownership.direct: 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.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 17:19 UTC
EPM Live, Inc.Member of 10% owner group
SaleCommon Stock 37,579 $36.94 $1,388,288.51
Disclosure

SEC source: 0000899243-18-022148 · doc4.xml · nonDerivative · entry 2

EPM Live, Inc. · CIK 0001137204 · Member of 10% owner group

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: 954,400

F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $36.69 to $37.30. 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: 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.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 17:19 UTC
EPM Live, Inc.Member of 10% owner group
SaleCommon Stock 8,021 $34.97 $280,518.43
Disclosure

SEC source: 0000899243-18-022148 · doc4.xml · nonDerivative · entry 1

EPM Live, Inc. · CIK 0001137204 · Member of 10% owner group

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: 991,979

F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $34.90 to $35.10. 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: 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.

Read SEC document
August 06, 2018 Filed Aug 8, 2018 20:36 UTC GrantCommon Stock 1,497 $0.00 $0.00
Disclosure

SEC source: 0001131058-18-000002 · wf-form4_153376059803406.xml · nonDerivative · entry 1

COURTER STEPHEN E · CIK 0001131058 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,913

F1 · shares: Represents restricted stock vesting as to 25% of shares on each of 9/16/2018, 12/16/2018, 3/16/2019 and 6/16/2019 subject to continued service as a member of the Board.

Read SEC document
August 06, 2018 Filed Aug 8, 2018 16:34 UTC
MAY DAVIDDirector
GrantCommon Stock · Derivative 4,378 $0.00 Strike: $33.39 $0.00
Disclosure

SEC source: 0001458635-18-000004 · wf-form4_153376044524371.xml · derivative · entry 1

MAY DAVID · CIK 0001458635 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,378

Underlying: Common Stock · 4,378 shares

Expires 2028-08-06

F1 · derivative.exercise_date: Options vest and become exercisable as to 25% of shares on each of 9/16/19, 12/16/18, 3/16/19 and 6/16/19.

Read SEC document
August 06, 2018 Filed Aug 8, 2018 20:40 UTC GrantCommon Stock 1,497 $0.00 $0.00
Disclosure

SEC source: 0001622461-18-000002 · wf-form4_153376084090933.xml · nonDerivative · entry 1

Favaron Rodney C · CIK 0001622461 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,913

F1 · shares: Represents restricted stock vesting as to 25% of shares on each of 9/16/2018, 12/16/2018, 3/16/2019 and 6/16/2019 subject to continued service as a member of the Board.

Read SEC document
August 06, 2018 Filed Aug 8, 2018 20:38 UTC
Ross JoeDirector
GrantCommon Stock 1,497 $0.00 $0.00
Disclosure

SEC source: 0001719895-18-000002 · wf-form4_153376071873872.xml · nonDerivative · entry 1

Ross Joe · CIK 0001719895 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,093

F1 · shares: Represents restricted stock vesting as to 25% of shares on each of 9/16/18, 12/16/18, 3/16/19 and 6/16/19.

Read SEC document
August 06, 2018 Filed Aug 30, 2018 16:15 UTC Amendment
MAY DAVIDDirector
GrantStock Option (right to buy) · Derivative 4,378 $0.00 Strike: $33.39 $0.00
Disclosure

SEC source: 0001458635-18-000006 · wf-form4a_153566012496871.xml · derivative · entry 1

MAY DAVID · CIK 0001458635 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,378

Underlying: Common Stock · 4,378 shares

Expires 2028-08-06

F1 · security: Form was amended to correct the Title of Derivative Security.

F2 · derivative.exercise_date: Options vest and become exercisable as to 25% of shares on each of 9/16/19, 12/16/18, 3/16/19 and 6/16/19.

Read SEC document
July 31, 2018 Filed Aug 1, 2018 22:24 UTC
Mattox TimothyPresident & COO
Exercise / conversionIncentive Stock Option · Derivative 15,860 $0.00 Strike: $8.72 $0.00
Disclosure

SEC source: 0001628280-18-010235 · wf-form4_153316226618863.xml · derivative · entry 2

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,724

Underlying: Common Stock · 15,860 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.

Read SEC document
July 31, 2018 Filed Aug 1, 2018 22:24 UTC
Mattox TimothyPresident & COO
Exercise / conversionCommon Stock 15,860 $8.72 $138,299.20
Disclosure

SEC source: 0001628280-18-010235 · wf-form4_153316226618863.xml · nonDerivative · entry 1

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,789

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.

Read SEC document
July 18, 2018 Filed Jul 18, 2018 22:57 UTC
Hill Michael DouglassCFO,Treasurer & Secretary
SaleCommon Stock 10,000 $35.06 $350,557.00
Disclosure

SEC source: 0001628280-18-009351 · wf-form4_153195463153533.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,540

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 14, 2018, with an effective date of July 16, 2018.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.15, 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.

Read SEC document
July 17, 2018 Filed Jul 18, 2018 22:57 UTC
Hill Michael DouglassCFO,Treasurer & Secretary
SaleCommon Stock 23,356 $35.23 $822,759.48
Disclosure

SEC source: 0001628280-18-009351 · wf-form4_153195463153533.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,540

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 14, 2018, with an effective date of July 16, 2018.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.95 to $35.58, 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.

Read SEC document
July 16, 2018 Filed Jul 18, 2018 18:34 UTC
MAY DAVIDDirector
SaleCommon Stock 20,000 $34.96 $699,160.00
Disclosure

SEC source: 0001628280-18-009343 · wf-form4_153195324606644.xml · nonDerivative · entry 1

MAY DAVID · CIK 0001458635 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,500

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 14, 2018, with an effective date of July 15, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.87 to $35.66, 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.

Read SEC document
July 16, 2018 Filed Jul 18, 2018 22:57 UTC
Hill Michael DouglassCFO,Treasurer & Secretary
SaleCommon Stock 6,644 $34.98 $232,375.89
Disclosure

SEC source: 0001628280-18-009351 · wf-form4_153195463153533.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,896

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 14, 2018, with an effective date of July 16, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.90 to $35.02, 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.

Read SEC document
July 12, 2018 Filed Jul 13, 2018 21:21 UTC
Mattox TimothyPresident & COO
SaleCommon Stock 14,500 $36.04 $522,520.55
Disclosure

SEC source: 0001628280-18-009216 · wf-form4_153151690407187.xml · nonDerivative · entry 2

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 434,929

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 14, 2018, with an effective date of July 11, 2018.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.13, 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.

Read SEC document
July 11, 2018 Filed Jul 13, 2018 21:21 UTC
Mattox TimothyPresident & COO
SaleCommon Stock 2,500 $36.02 $90,060.00
Disclosure

SEC source: 0001628280-18-009216 · wf-form4_153151690407187.xml · nonDerivative · entry 1

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 449,429

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 14, 2018, with an effective date of July 11, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.055, 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.

Read SEC document
June 18, 2018 Filed Jun 19, 2018 17:28 UTC
MAY DAVIDDirector
SaleCommon Stock 4,979 $36.06 $179,558.67
Disclosure

SEC source: 0001458635-18-000002 · wf-form4_152944368856600.xml · nonDerivative · entry 2

MAY DAVID · CIK 0001458635 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,500

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 14, 2018, with an effective date of June 15, 2018.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.185 to $36.82, 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.

Read SEC document
June 16, 2018 Filed Jun 19, 2018 22:24 UTC
MCDONALD JOHN TDirector · CEO
Tax withholdingCommon Stock 10,473 $35.27 $369,382.71
Disclosure

SEC source: 0001094792-18-000017 · wf-form4_152944703561051.xml · nonDerivative · entry 1

MCDONALD JOHN T · CIK 0001094792 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,716,695

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 193,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 1,910,433 shares.

Read SEC document
June 16, 2018 Filed Jun 19, 2018 22:44 UTC
Hill Michael DouglassCFO,Treasurer & Secretary
Tax withholdingCommon Stock 4,547 $35.27 $160,372.69
Disclosure

SEC source: 0001289889-18-000010 · wf-form4_152944827546250.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,540

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.

Read SEC document
June 16, 2018 Filed Jun 19, 2018 21:39 UTC
Mattox TimothyPresident & COO
Tax withholdingCommon Stock 7,371 $35.27 $259,975.17
Disclosure

SEC source: 0001624067-18-000010 · wf-form4_152944435450044.xml · nonDerivative · entry 1

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 451,929

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.

Read SEC document
June 15, 2018 Filed Jun 19, 2018 17:28 UTC
MAY DAVIDDirector
SaleCommon Stock 35,021 $35.21 $1,233,145.44
Disclosure

SEC source: 0001458635-18-000002 · wf-form4_152944368856600.xml · nonDerivative · entry 1

MAY DAVID · CIK 0001458635 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,479

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 14, 2018, with an effective date of June 15, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.39, 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.

Read SEC document
May 29, 2018 Filed May 31, 2018 23:15 UTC
Hill Michael DouglassCFO,Treasurer & Secretary
Exercise / conversionIncentive Stock Option · Derivative 15,000 $0.00 Strike: $0.30 $0.00
Disclosure

SEC source: 0001289889-18-000008 · wf-form4_152780848898817.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,383

Underlying: Common Stock · 15,000 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 vested 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.

Read SEC document
May 29, 2018 Filed May 31, 2018 23:15 UTC
Hill Michael DouglassCFO,Treasurer & Secretary
Exercise / conversionCommon Stock 15,000 $0.30 $4,500.00
Disclosure

SEC source: 0001289889-18-000008 · wf-form4_152780848898817.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,087

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.

Read SEC document
May 09, 2018 Filed May 11, 2018 20:03 UTC
MCDONALD JOHN TDirector · CEO
Tax withholdingCommon Stock 67,253 $29.26 $1,967,822.78
Disclosure

SEC source: 0001094792-18-000015 · wf-form4_152606901513596.xml · nonDerivative · entry 1

MCDONALD JOHN T · CIK 0001094792 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,727,168

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 193,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 1,920,906 shares.

Read SEC document
April 16, 2018 Filed Apr 18, 2018 01:43 UTC
MCDONALD JOHN TDirector · CEO · 10% owner
SaleCommon Stock 1,300 $28.34 $36,842.00
Disclosure

SEC source: 0001094792-18-000013 · wf-form4_152401578063906.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By MLPF&S as Cust. FBO J. McDonald IRA

Disclosed balance after: 193,738

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 March 19, 2018.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.12 to $28.61, 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.

F5 · balance_after: Excludes 1,794,421 shares held directly for a total of 1,988,159 shares.

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April 16, 2018 Filed Apr 18, 2018 01:43 UTC
MCDONALD JOHN TDirector · CEO · 10% owner
SaleCommon Stock 38,700 $27.70 $1,071,990.00
Disclosure

SEC source: 0001094792-18-000013 · wf-form4_152401578063906.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By MLPF&S as Cust. FBO J. McDonald IRA

Disclosed balance after: 195,038

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 March 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.12 to $28.11, 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.

F3 · balance_after: Excludes 1,794,421 shares held directly for a total of 1,989,459 shares.

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March 29, 2018 Filed Mar 30, 2018 22:23 UTC
MCDONALD JOHN TDirector · CEO · 10% owner
Tax withholdingCommon Stock 5,785 $28.79 $166,550.15
Disclosure

SEC source: 0001094792-18-000010 · wf-form4_152244860830733.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,794,421

F3 · 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.

F4 · balance_after: Excludes 233,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 2,028,159 shares.

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March 29, 2018 Filed Mar 30, 2018 22:23 UTC
MCDONALD JOHN TDirector · CEO · 10% owner
GrantCommon Stock 178,000 $28.79 $5,124,620.00
Disclosure

SEC source: 0001094792-18-000010 · wf-form4_152244860830733.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,800,206

F1 · shares: The shares vest in twelve equal quarterly installments starting on March 16, 2018 and ending on December 16, 2020; provided that the participant continues to be a service provider through each such vesting date.

F2 · balance_after: Excludes 233,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 2,033,944 shares.

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March 29, 2018 Filed Mar 30, 2018 22:25 UTC
Hill Michael DouglassCFO,Treasurer & Secretary
Tax withholdingCommon Stock 2,288 $28.79 $65,871.52
Disclosure

SEC source: 0001289889-18-000006 · wf-form4_152244871028566.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,087

F2 · 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.

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March 29, 2018 Filed Mar 30, 2018 22:25 UTC
Hill Michael DouglassCFO,Treasurer & Secretary
GrantCommon Stock 71,500 $28.79 $2,058,485.00
Disclosure

SEC source: 0001289889-18-000006 · wf-form4_152244871028566.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,375

F1 · shares: The shares vest in twelve equal quarterly installments starting on March 16, 2018 and ending on December 16, 2020; provided that the participant continues to be a service provider through each such vesting date.

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March 29, 2018 Filed Mar 30, 2018 22:33 UTC
Mattox TimothyPresident & COO
Tax withholdingCommon Stock 3,332 $28.79 $95,928.28
Disclosure

SEC source: 0001624067-18-000008 · wf-form4_152244916619313.xml · nonDerivative · entry 2

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 459,300

F2 · 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.

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March 29, 2018 Filed Mar 30, 2018 22:33 UTC
Mattox TimothyPresident & COO
GrantCommon Stock 104,500 $28.79 $3,008,555.00
Disclosure

SEC source: 0001624067-18-000008 · wf-form4_152244916619313.xml · nonDerivative · entry 1

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 462,632

F1 · shares: The shares vest in twelve equal quarterly installments starting on March 16, 2018 and ending on December 16, 2020; provided that the participant continues to be a service provider through each such vesting date.

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March 22, 2018 Filed Mar 23, 2018 23:32 UTC
Hill Michael DouglassCFO,Treasurer & Secretary
SaleCommon Stock 709 $30.33 $21,505.25
Disclosure

SEC source: 0001289889-18-000004 · wf-form4_152184792463572.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,875

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 March 21, 2018.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.28 to $30.42, 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.

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March 22, 2018 Filed Mar 23, 2018 23:32 UTC
Hill Michael DouglassCFO,Treasurer & Secretary
SaleCommon Stock 27,641 $29.96 $828,245.98
Disclosure

SEC source: 0001289889-18-000004 · wf-form4_152184792463572.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,584

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 March 21, 2018.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.28 to $30.255, 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.

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March 21, 2018 Filed Mar 23, 2018 23:32 UTC
Hill Michael DouglassCFO,Treasurer & Secretary
SaleCommon Stock 11,650 $29.35 $341,869.25
Disclosure

SEC source: 0001289889-18-000004 · wf-form4_152184792463572.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,225

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 March 21, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.10 to $29.64, 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.

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March 19, 2018 Filed Mar 20, 2018 21:46 UTC
MCDONALD JOHN TDirector · CEO · 10% owner
SaleCommon Stock 10,000 $28.24 $282,425.00
Disclosure

SEC source: 0001094792-18-000008 · wf-form4_152158236667081.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By MLPF&S as Cust. FBO J. McDonald IRA

Disclosed balance after: 233,738

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 March 19, 2018.

F2 · price: 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.

Read SEC document
March 16, 2018 Filed Mar 20, 2018 21:46 UTC
MCDONALD JOHN TDirector · CEO · 10% owner
Tax withholdingCommon Stock 4,735 $28.62 $135,515.70
Disclosure

SEC source: 0001094792-18-000008 · wf-form4_152158236667081.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,622,206

F3 · 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.

F4 · balance_after: 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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March 16, 2018 Filed Mar 20, 2018 21:48 UTC
Hill Michael DouglassCFO,Treasurer & Secretary
Tax withholdingCommon Stock 2,330 $28.62 $66,684.60
Disclosure

SEC source: 0001289889-18-000002 · wf-form4_152158248957729.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,875

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.

Read SEC document
March 16, 2018 Filed Mar 20, 2018 21:50 UTC
Mattox TimothyPresident & COO
Tax withholdingCommon Stock 4,072 $28.62 $116,540.64
Disclosure

SEC source: 0001624067-18-000006 · wf-form4_152158264542258.xml · nonDerivative · entry 1

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 358,132

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.

Read SEC document
March 09, 2018 Filed Mar 13, 2018 15:26 UTC
MCDONALD JOHN TDirector · CEO · 10% owner
SaleCommon Stock 50,000 $28.04 $1,402,205.00
Disclosure

SEC source: 0001094792-18-000006 · wf-form4_152095475703890.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,626,941

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 $28.0012 to $28.1239, 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.

F3 · balance_after: Excludes 243,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 1,870,679 shares.

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March 09, 2018 Filed Mar 13, 2018 15:33 UTC
Mattox TimothyPresident & COO
SaleCommon Stock 41,000 $30.03 $1,231,361.20
Disclosure

SEC source: 0001624067-18-000004 · wf-form4_152095519509103.xml · nonDerivative · entry 2

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 362,204

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 25, 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 $30.00 to $30.345, 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 range set forth in this Form 4.

Read SEC document
March 09, 2018 Filed Mar 13, 2018 15:33 UTC
Mattox TimothyPresident & COO
SaleCommon Stock 17,000 $28.03 $476,549.10
Disclosure

SEC source: 0001624067-18-000004 · wf-form4_152095519509103.xml · nonDerivative · entry 1

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 403,204

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 25, 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 $28.00 to $28.11, 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 range set forth in this Form 4.

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March 05, 2018 Filed Mar 7, 2018 21:50 UTC
Mattox TimothyPresident & COO
SaleCommon Stock 17,000 $26.09 $443,511.30
Disclosure

SEC source: 0001624067-18-000002 · wf-form4_152045939519154.xml · nonDerivative · entry 1

Mattox Timothy · CIK 0001624067 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 420,204

F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 25, 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 $26.00 to $26.20, 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 range set forth in this Form 4.

Read SEC document
February 15, 2018 Filed Feb 16, 2018 21:06 UTC
MCDONALD JOHN TDirector · CEO · 10% owner
SaleCommon Stock 45,300 $22.56 $1,021,913.64
Disclosure

SEC source: 0001094792-18-000004 · wf-form4_151881518162116.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,676,941

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 $22.19 to $22.85, 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 1,920,679 shares.

Read SEC document
February 14, 2018 Filed Feb 16, 2018 21:06 UTC
MCDONALD JOHN TDirector · CEO · 10% owner
SaleCommon Stock 22,200 $22.46 $498,527.64
Disclosure

SEC source: 0001094792-18-000004 · wf-form4_151881518162116.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,722,241

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 $22.07 to $22.65, 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.