organization · Reporting owner

ESW Capital, LLC

Disclosed activity across 4 companies

Tapewire entity: 139120
SEC CIK: 0001477025

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
BROADVISION INCBVSN · Entity 152371	10% owner	January 13, 2020	January 15, 2020
FALCONSTOR SOFTWARE INCFALC · Entity 115263	10% owner	December 27, 2018	December 28, 2018
MARIN SOFTWARE INCMRIN · Entity 75656	10% owner	December 26, 2018	December 28, 2018

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

BROADVISION INC

Report date January 13, 2020 · Filed January 15, 2020

Jointly reported with LIEMANDT JOSEPH

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,216,071	Reported balance After 2020-01-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-01-13 · Purchase · Acquired 144,689 · Balance 1,216,071 F1: The price shown is the weighted average purchase price for the reported transaction. The range of prices at which common stock was purchased for the reported transaction was $2.50 to $2.80. A breakdown of each transaction will be provided upon request. F2: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The price shown is the weighted average purchase price for the reported transaction. The range of prices at which common stock was purchased for the reported transaction was $2.50 to $2.80. A breakdown of each transaction will be provided upon request.

F2: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein.

FALCONSTOR SOFTWARE INC

Report date December 27, 2018 · Filed December 28, 2018

Jointly reported with LIEMANDT JOSEPH

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	128,613,493	Reported balance After 2018-12-27 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2018-12-27 · Other · Acquired 122,214,132 · Balance 128,613,493 F1: The reported securities are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the securities held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the securities held by ESW, except to the extent, if any, of his pecuniary interest therein.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2028-02-23	Direct	0	Reported balance After 2018-12-27 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2018-12-27 · Other · Disposed 122,214,132 · Balance 0 F3: The reported securities were included with 9,990,506 Units purchased by the reporting person for $0.371063 per Unit in the Financing. Each Unit consisted of (a) $0.10 in Issuer's senior secured debt, (b) warrants to purchase 12.233 shares of the Issuer's common stock, and (c) 0.0225 shares of the Company's Series A Convertible Preferred Stock at a per Unit price of $0.271063 (subject to certain adjustment). F2: The warrants reported herein were issued by the Issuer to ESW in connection with its purchase of 9,990,506 units (each, a "Unit") in a private placement that closed on October 10, 2018 ("Financing"). The warrants were exercisable at any time prior to the expiration date. F1: The reported securities are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the securities held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the securities held by ESW, except to the extent, if any, of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the securities held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the securities held by ESW, except to the extent, if any, of his pecuniary interest therein.

F2: The warrants reported herein were issued by the Issuer to ESW in connection with its purchase of 9,990,506 units (each, a "Unit") in a private placement that closed on October 10, 2018 ("Financing"). The warrants were exercisable at any time prior to the expiration date.

F3: The reported securities were included with 9,990,506 Units purchased by the reporting person for $0.371063 per Unit in the Financing. Each Unit consisted of (a) $0.10 in Issuer's senior secured debt, (b) warrants to purchase 12.233 shares of the Issuer's common stock, and (c) 0.0225 shares of the Company's Series A Convertible Preferred Stock at a per Unit price of $0.271063 (subject to certain adjustment).

MARIN SOFTWARE INC

Report date December 26, 2018 · Filed December 28, 2018

Jointly reported with LIEMANDT JOSEPH

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	579,000	Last balance in matching sequence After 2018-12-28 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 4 source rows Row 1 · 2018-12-26 · Sale · Disposed 244,990 · Balance 959,138 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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. F2: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Row 2 · 2018-12-26 · Sale · Disposed 11,703 · Balance 947,435 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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. F2: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Row 3 · 2018-12-27 · Sale · Disposed 301,607 · Balance 645,828 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.85, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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. F2: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Row 4 · 2018-12-28 · Sale · Disposed 66,828 · Balance 579,000 F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.30 to $7.13, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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. F2: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.85, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.30 to $7.13, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Upland Software, Inc.

Report date May 19, 2021 · Filed May 24, 2021 · Amendment

Jointly reported with LIEMANDT JOSEPH, DevFactory FZ-LLC

Section 16 reporting ended · disclosed 2018-08-28. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	1,803,574	Reported balance Holding disclosure · report date 2021-05-19 · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · Balance 1,803,574 F1: It was recently discovered that the transfer of these shares from DevFactory FZ-LLC ("DevFactory"), a controlled subsidiary of ESW Capital, LLC ("ESW"), to Acorn Performance Group, Inc. ("Acorn"), a subsidiary controlled by ESW, in 2014 was not completed; therefore, the original Form 3, as amended on December 23, 2014, and all subsequent Form 4s up to the date of this filing, identified Acorn as the beneficial owner in error. These shares were held directly by DevFactory. Joseph A. Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW and DevFactory. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by DevFactory, except to the extent, if any, of his pecuniary interest therein, and ESW disclaims Section 16 beneficial ownership of the shares held by DevFactory, except to the extent, if any, of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: It was recently discovered that the transfer of these shares from DevFactory FZ-LLC ("DevFactory"), a controlled subsidiary of ESW Capital, LLC ("ESW"), to Acorn Performance Group, Inc. ("Acorn"), a subsidiary controlled by ESW, in 2014 was not completed; therefore, the original Form 3, as amended on December 23, 2014, and all subsequent Form 4s up to the date of this filing, identified Acorn as the beneficial owner in error. These shares were held directly by DevFactory. Joseph A. Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW and DevFactory. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by DevFactory, except to the extent, if any, of his pecuniary interest therein, and ESW disclaims Section 16 beneficial ownership of the shares held by DevFactory, except to the extent, if any, of its pecuniary interest therein.

Transaction history

JSON API

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 date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
January 13, 2020 Filed Jan 15, 2020 17:02 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	144,689	$2.78	$402,105.20	Disclosure SEC source: 0001209191-20-003491 · doc4.xml · nonDerivative · entry 1 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: 1,216,071 F1 · price: The price shown is the weighted average purchase price for the reported transaction. The range of prices at which common stock was purchased for the reported transaction was $2.50 to $2.80. A breakdown of each transaction will be provided upon request. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
January 02, 2020 Filed Jan 6, 2020 16:34 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	4,904	$2.50	$12,259.02	Disclosure SEC source: 0001209191-20-001852 · doc4.xml · nonDerivative · entry 1 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: 1,071,382 F1 · price: The price shown is the weighted average purchase price for the reported transaction. The range of prices at which common stock was purchased for the reported transaction was $2.49 to $2.50. A breakdown of each transaction will be provided upon request. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
November 25, 2019 Filed Nov 27, 2019 16:53 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	7,350	$2.50	$18,375.00	Disclosure SEC source: 0001209191-19-058357 · doc4.xml · nonDerivative · entry 1 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: 1,066,478 F1 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
November 20, 2019 Filed Nov 22, 2019 16:34 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	7,371	$2.50	$18,427.50	Disclosure SEC source: 0001209191-19-057801 · doc4.xml · nonDerivative · entry 1 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: 1,059,128 F1 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
November 13, 2019 Filed Nov 14, 2019 16:24 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	2,699	$2.50	$6,738.59	Disclosure SEC source: 0001209191-19-056566 · doc4.xml · nonDerivative · entry 2 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: 1,051,757 F3 · price: The price shown is the weighted average purchase price for the reported transaction. The range of prices at which common stock was purchased for the reported transaction was $2.455 to $2.50. A breakdown of each transaction will be provided upon request. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
November 12, 2019 Filed Nov 14, 2019 16:24 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	3,751	$2.46	$9,227.46	Disclosure SEC source: 0001209191-19-056566 · doc4.xml · nonDerivative · entry 1 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: 1,049,058 F1 · price: The price shown is the weighted average purchase price for the reported transaction. The range of prices at which common stock was purchased for the reported transaction was $2.40 to $2.50. A breakdown of each transaction will be provided upon request. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
September 18, 2019 Filed Sep 20, 2019 16:47 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	46,088	$1.33	$61,301.65	Disclosure SEC source: 0001209191-19-050341 · doc4.xml · nonDerivative · entry 1 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: 1,045,307 F1 · price: The price shown is the weighted average purchase price for the reported transaction. The range of prices at which common stock was purchased for the reported transaction was $1.33 to $1.39. A breakdown of each transaction will be provided upon request. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
September 10, 2019 Filed Sep 11, 2019 16:18 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	1,781	$1.39	$2,475.41	Disclosure SEC source: 0000899243-19-023320 · doc4.xml · nonDerivative · entry 2 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: 999,219 F3 · price: The price shown is the weighted average purchase price for the reported transaction. The range of prices at which common stock was purchased for the reported transaction was $1.37 to $1.39. A breakdown of each transaction will be provided upon request. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
September 09, 2019 Filed Sep 11, 2019 16:18 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	3,919	$1.38	$5,409.40	Disclosure SEC source: 0000899243-19-023320 · doc4.xml · nonDerivative · entry 1 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: 997,438 F1 · price: The price shown is the weighted average purchase price for the reported transaction. The range of prices at which common stock was purchased for the reported transaction was $1.38 to $1.39. A breakdown of each transaction will be provided upon request. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 28, 2019 Filed Aug 28, 2019 17:29 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	1,011	$1.36	$1,374.96	Disclosure SEC source: 0000899243-19-022565 · doc4.xml · nonDerivative · entry 2 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: 993,519 F1 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 26, 2019 Filed Aug 28, 2019 17:29 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	10,143	$1.36	$13,794.48	Disclosure SEC source: 0000899243-19-022565 · doc4.xml · nonDerivative · entry 1 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: 992,508 F1 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 20, 2019 Filed Aug 21, 2019 18:09 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	210	$1.38	$289.80	Disclosure SEC source: 0000899243-19-022233 · doc4.xml · nonDerivative · entry 2 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: 982,365 F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 19, 2019 Filed Aug 21, 2019 18:09 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	1,025	$1.37	$1,405.28	Disclosure SEC source: 0000899243-19-022233 · doc4.xml · nonDerivative · entry 1 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: 982,155 F1 · price: The price shown is the weighted average purchase price for the reported transaction. The range of prices at which common stock was purchased for the reported transaction was $1.37 to $1.38. A breakdown of each transaction will be provided upon request. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 13, 2019 Filed Aug 14, 2019 19:14 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	5,953	$1.37	$8,155.61	Disclosure SEC source: 0000899243-19-021745 · doc4.xml · nonDerivative · entry 2 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: 981,130 F1 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 12, 2019 Filed Aug 14, 2019 19:14 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	393	$1.37	$538.41	Disclosure SEC source: 0000899243-19-021745 · doc4.xml · nonDerivative · entry 1 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: 975,177 F1 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 08, 2019 Filed Aug 9, 2019 19:44 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	2,072	$1.38	$2,859.36	Disclosure SEC source: 0000899243-19-021508 · doc4.xml · nonDerivative · entry 2 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: 974,784 F1 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 07, 2019 Filed Aug 9, 2019 19:44 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	1,043	$1.38	$1,439.34	Disclosure SEC source: 0000899243-19-021508 · doc4.xml · nonDerivative · entry 1 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: 972,712 F1 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 06, 2019 Filed Aug 6, 2019 18:52 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	51	$1.39	$70.89	Disclosure SEC source: 0000899243-19-021160 · doc4.xml · nonDerivative · entry 3 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: 971,669 F1 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 06, 2019 Filed Nov 22, 2019 16:30 UTC Amendment	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	51	$1.39	$70.89	Disclosure SEC source: 0001209191-19-057792 · doc4a.xml · nonDerivative · entry 3 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: 971,669 F3 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 05, 2019 Filed Aug 6, 2019 18:52 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	804	$1.39	$1,117.24	Disclosure SEC source: 0000899243-19-021160 · doc4.xml · nonDerivative · entry 2 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: 971,618 F2 · price: The price shown is the weighted average purchase price for the reported transaction. The range of prices at which common stock was purchased for the reported transaction was $1.3700 to $1.3900. A breakdown of each transaction will be provided upon request. F1 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 05, 2019 Filed Nov 22, 2019 16:30 UTC Amendment	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	804	$1.39	$1,117.56	Disclosure SEC source: 0001209191-19-057792 · doc4a.xml · nonDerivative · entry 2 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: 971,618 F1 · price: This Form 4/A amends and restates the Form 4 filed on August 6, 2019 which inadvertently switched the prices reported for the two transactions. The correct prices for the reported transactions are presented above. F3 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 02, 2019 Filed Aug 6, 2019 18:52 UTC	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	6,376	$1.39	$8,862.64	Disclosure SEC source: 0000899243-19-021160 · doc4.xml · nonDerivative · entry 1 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: 970,814 F1 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 02, 2019 Filed Nov 22, 2019 16:30 UTC Amendment	BROADVISION INC BVSN · Entity 152371	PurchaseCommon Stock	6,376	$1.39	$8,860.09	Disclosure SEC source: 0001209191-19-057792 · doc4a.xml · nonDerivative · entry 1 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: 970,814 F1 · price: This Form 4/A amends and restates the Form 4 filed on August 6, 2019 which inadvertently switched the prices reported for the two transactions. The correct prices for the reported transactions are presented above. F2 · price: The price shown is the weighted average purchase price for the reported transaction. The range of prices at which common stock was purchased for the reported transaction was $1.37 to $1.39. A breakdown of each transaction will be provided upon request. F3 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
December 28, 2018 Filed Dec 28, 2018 18:12 UTC	MARIN SOFTWARE INC MRIN · Entity 75656	SaleCommon Stock	66,828	$7.03	$469,787.47	Disclosure SEC source: 0000899243-18-031949 · doc4.xml · nonDerivative · entry 4 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: 579,000 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.30 to $7.13, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
December 27, 2018 Filed Dec 28, 2018 16:30 UTC	FALCONSTOR SOFTWARE INC FALC · Entity 115263	OtherWarrants · Derivative	122,214,132	Not disclosed Strike: $0.00	Not disclosed	Disclosure SEC source: 0000899243-18-031939 · doc4.xml · derivative · entry 2 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 Underlying: Common Stock · 122,214,132 shares Expires 2028-02-23 F3 · price: The reported securities were included with 9,990,506 Units purchased by the reporting person for $0.371063 per Unit in the Financing. Each Unit consisted of (a) $0.10 in Issuer's senior secured debt, (b) warrants to purchase 12.233 shares of the Issuer's common stock, and (c) 0.0225 shares of the Company's Series A Convertible Preferred Stock at a per Unit price of $0.271063 (subject to certain adjustment). F2 · derivative.exercise_date: The warrants reported herein were issued by the Issuer to ESW in connection with its purchase of 9,990,506 units (each, a "Unit") in a private placement that closed on October 10, 2018 ("Financing"). The warrants were exercisable at any time prior to the expiration date. F1 · ownership.direct: The reported securities are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the securities held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the securities held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
December 27, 2018 Filed Dec 28, 2018 16:30 UTC	FALCONSTOR SOFTWARE INC FALC · Entity 115263	OtherCommon Stock	122,214,132	$0.00	$122,214.13	Disclosure SEC source: 0000899243-18-031939 · doc4.xml · nonDerivative · entry 1 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: 128,613,493 F1 · ownership.direct: The reported securities are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the securities held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the securities held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
December 27, 2018 Filed Dec 28, 2018 18:12 UTC	MARIN SOFTWARE INC MRIN · Entity 75656	SaleCommon Stock	301,607	$7.32	$2,207,401.31	Disclosure SEC source: 0000899243-18-031949 · doc4.xml · nonDerivative · entry 3 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: 645,828 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.85, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
December 26, 2018 Filed Dec 28, 2018 18:12 UTC	MARIN SOFTWARE INC MRIN · Entity 75656	SaleCommon Stock	11,703	$8.03	$93,971.58	Disclosure SEC source: 0000899243-18-031949 · doc4.xml · nonDerivative · entry 2 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: 947,435 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
December 26, 2018 Filed Dec 28, 2018 18:12 UTC	MARIN SOFTWARE INC MRIN · Entity 75656	SaleCommon Stock	244,990	$7.33	$1,795,923.69	Disclosure SEC source: 0000899243-18-031949 · doc4.xml · nonDerivative · entry 1 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: 959,138 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
October 10, 2018 Filed Oct 12, 2018 16:06 UTC	FALCONSTOR SOFTWARE INC FALC · Entity 115263	PurchaseSeries A Convertible Preferred Stock · Derivative	224,786	$0.27	$60,939.48	Disclosure SEC source: 0000899243-18-026634 · doc4.xml · derivative · entry 2 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: 224,786 Underlying: Common Stock · 2,708,053 shares Expires not disclosed F4 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock (the "Preferred Stock") of the Issuer has a stated value of $10 (the "Stated Value"). Each share of Preferred Stock is initially convertible into such number of shares of Common Stock determined by dividing the Stated Value by $1.02488, the initial conversion price of the Preferred Stock. The conversion price of the Preferred Stock is subject to adjustment from time to time in accordance with the terms of the Certificate of Designations of the Preferred Stock, including for accrued but unpaid dividends. F2 · price: The reported securities are included with 9,990,506 Units purchased by the reporting person for $0.371063 per Unit. Each Unit consists of (a) $0.10 in Issuer's senior secured debt, (b) warrants to purchase 12.233 shares of the Issuer's common stock, and (c) 0.0225 shares of the Company's Series A Convertible Preferred Stock at a per Unit price of $0.271063 (subject to certain adjustment). F5 · derivative.exercise_date: The Preferred Stock is convertible at any time, at the holder's election, into common stock of the Issuer and has no expiration date. The Preferred Stock accrues dividends which may, under circumstances, be paid in shares of Common Stock. F5 · derivative.expiration_date: The Preferred Stock is convertible at any time, at the holder's election, into common stock of the Issuer and has no expiration date. The Preferred Stock accrues dividends which may, under circumstances, be paid in shares of Common Stock. F4 · derivative.underlying_shares: Each share of Series A Convertible Preferred Stock (the "Preferred Stock") of the Issuer has a stated value of $10 (the "Stated Value"). Each share of Preferred Stock is initially convertible into such number of shares of Common Stock determined by dividing the Stated Value by $1.02488, the initial conversion price of the Preferred Stock. The conversion price of the Preferred Stock is subject to adjustment from time to time in accordance with the terms of the Certificate of Designations of the Preferred Stock, including for accrued but unpaid dividends. F3 · ownership.direct: The reported securities are held directly by ESW. Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the securities held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the securities held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
October 10, 2018 Filed Oct 12, 2018 16:06 UTC	FALCONSTOR SOFTWARE INC FALC · Entity 115263	PurchaseWarrants · Derivative	122,214,132	Not disclosed Strike: $0.00	Not disclosed	Disclosure SEC source: 0000899243-18-026634 · doc4.xml · derivative · entry 1 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: 122,214,132 Underlying: Common Stock · 122,214,132 shares Expires 2028-02-23 F2 · price: The reported securities are included with 9,990,506 Units purchased by the reporting person for $0.371063 per Unit. Each Unit consists of (a) $0.10 in Issuer's senior secured debt, (b) warrants to purchase 12.233 shares of the Issuer's common stock, and (c) 0.0225 shares of the Company's Series A Convertible Preferred Stock at a per Unit price of $0.271063 (subject to certain adjustment). F1 · derivative.exercise_date: The warrants reported herein were issued by the Issuer to ESW Capital, LLC ("ESW") in connection with its purchase of 9,990,506 units (each, a "Unit") in a private placement ("Financing"). The warrants are exercisable at any time prior to the expiration date. F3 · ownership.direct: The reported securities are held directly by ESW. Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the securities held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the securities held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
August 27, 2018 Filed Aug 28, 2018 16:18 UTC	Upland Software, Inc. UPLD · Entity 7891	SaleCommon Stock	854,400	$34.85	$29,776,181.76	Disclosure SEC source: 0000899243-18-023375 · 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: 0 F3 · price: 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. 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 24, 2018 Filed Aug 28, 2018 16:18 UTC	Upland Software, Inc. UPLD · Entity 7891	SaleCommon Stock	5,000	$35.41	$177,051.00	Disclosure SEC source: 0000899243-18-023375 · 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: 854,400 F1 · price: 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. 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 23, 2018 Filed Aug 23, 2018 18:15 UTC	Upland Software, Inc. UPLD · Entity 7891	SaleCommon Stock	7,153	$35.00	$250,369.31	Disclosure SEC source: 0000899243-18-023167 · 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: 859,400 F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.07. 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: 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 21, 2018 Filed Aug 23, 2018 18:15 UTC	Upland Software, Inc. UPLD · Entity 7891	SaleCommon Stock	7,500	$34.93	$261,975.00	Disclosure SEC source: 0000899243-18-023167 · 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: 866,553 F1 · 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	Upland Software, Inc. UPLD · Entity 7891	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	Upland Software, Inc. UPLD · Entity 7891	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	Upland Software, Inc. UPLD · Entity 7891	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	Upland Software, Inc. UPLD · Entity 7891	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	Upland Software, Inc. UPLD · Entity 7891	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	Upland Software, Inc. UPLD · Entity 7891	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	Upland Software, Inc. UPLD · Entity 7891	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
December 18, 2017 Filed Dec 18, 2017 16:20 UTC	Upland Software, Inc. UPLD · Entity 7891	SaleCommon Stock	360,000	$22.00	$7,920,144.00	Disclosure 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. Read SEC document
December 15, 2017 Filed Dec 18, 2017 16:20 UTC	Upland Software, Inc. UPLD · Entity 7891	SaleCommon Stock	301,166	$22.02	$6,630,621.24	Disclosure 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. Read SEC document
December 14, 2017 Filed Dec 18, 2017 16:20 UTC	Upland Software, Inc. UPLD · Entity 7891	SaleCommon Stock	1,460,862	$22.00	$32,138,964.00	Disclosure 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. Read SEC document
October 26, 2017 Filed Oct 30, 2017 17:53 UTC	MARIN SOFTWARE INC MRIN · Entity 75656	PurchaseCommon Stock	361,172	$12.50	$4,514,650.00	Disclosure SEC source: 0000899243-17-024886 · doc4.xml · nonDerivative · entry 1 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: 1,204,128 F1 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
October 20, 2017 Filed Oct 24, 2017 17:03 UTC	MARIN SOFTWARE INC MRIN · Entity 75656	PurchaseCommon Stock	42,088	$14.00	$589,227.79	Disclosure SEC source: 0000899243-17-024590 · doc4.xml · nonDerivative · entry 1 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: 5,273,152 F1 · price: Represents a weighted average purchase price per share. These shares were purchased in multiple transactions at prices ranging from $13.975 to $14.00. 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 purchased at each separate price within the range. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
October 19, 2017 Filed Oct 19, 2017 18:09 UTC	MARIN SOFTWARE INC MRIN · Entity 75656	PurchaseCommon Stock	3,970	$13.99	$55,559.36	Disclosure SEC source: 0000899243-17-024512 · doc4.xml · nonDerivative · entry 2 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: 5,231,064 F3 · price: Represents a weighted average purchase price per share. These shares were purchased in multiple transactions at prices ranging from $13.95 to $14.00. 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 purchased at each separate price within the range. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
October 17, 2017 Filed Oct 19, 2017 18:09 UTC	MARIN SOFTWARE INC MRIN · Entity 75656	PurchaseCommon Stock	5,712	$13.99	$79,912.02	Disclosure SEC source: 0000899243-17-024512 · doc4.xml · nonDerivative · entry 1 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: 5,227,094 F1 · price: Represents a weighted average purchase price per share. These shares were purchased in multiple transactions at prices ranging from $13.90 to $14.00. 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 purchased at each separate price within the range. F2 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document
October 12, 2017 Filed Oct 13, 2017 16:05 UTC	MARIN SOFTWARE INC MRIN · Entity 75656	PurchaseCommon Stock	1,908	$14.00	$26,712.00	Disclosure SEC source: 0000899243-17-024159 · doc4.xml · nonDerivative · entry 2 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: 5,221,382 F1 · ownership.direct: These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein. Read SEC document

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