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 ESW Capital, LLC
| 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 rowRow 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 ESW Capital, LLC
| 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 rowRow 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 rowRow 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 ESW Capital, LLC
| 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 rowsRow 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.
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.
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 ESW Capital, LLC, 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 rowRow 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 APIPurchases/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 |
|---|---|---|---|---|---|---|
| October 12, 2017 Filed Nov 6, 2017 16:55 UTC Amendment | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 1,908 | $14.00 | $26,712.00 |
DisclosureSEC source: 0000899243-17-025435 · 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: 791,186 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 11, 2017 Filed Oct 13, 2017 16:05 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 472 | $14.00 | $6,608.00 |
DisclosureSEC source: 0000899243-17-024159 · 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: 5,219,474 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 11, 2017 Filed Nov 6, 2017 16:55 UTC Amendment | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 472 | $14.00 | $6,608.00 |
DisclosureSEC source: 0000899243-17-025435 · 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: 789,278 F3 · balance_after: Reflects the 7-to-1 reverse stock split effected by the Issuer on October 5, 2017. 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 04, 2017 Filed Oct 6, 2017 16:06 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 23,056 | $2.00 | $46,079.72 |
DisclosureSEC source: 0000899243-17-023738 · 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: 5,219,002 F1 · price: Represents a weighted average purchase price per share. These shares were purchased in multiple transactions at prices ranging from $1.975 to $2.00. 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 03, 2017 Filed Oct 4, 2017 16:35 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 32,181 | $1.99 | $63,940.43 |
DisclosureSEC source: 0000899243-17-023525 · 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: 5,195,946 F1 · price: Represents a weighted average purchase price per share. These shares were purchased in multiple transactions at prices ranging from $1.85 to $2.00. 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 02, 2017 Filed Oct 4, 2017 16:35 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 79,357 | $1.90 | $150,841.79 |
DisclosureSEC source: 0000899243-17-023525 · 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: 5,163,765 F1 · price: Represents a weighted average purchase price per share. These shares were purchased in multiple transactions at prices ranging from $1.85 to $2.00. 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 |
| September 27, 2017 Filed Sep 29, 2017 16:45 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 10,295 | $1.80 | $18,531.00 |
DisclosureSEC source: 0000899243-17-022955 · 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: 5,084,408 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 |
| September 22, 2017 Filed Nov 6, 2017 16:55 UTC Amendment | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 302,642 | $1.85 | $559,221.89 |
DisclosureSEC source: 0000899243-17-025435 · 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: 5,376,755 F1 · price: Represents a weighted average purchase price per share. These shares were purchased in multiple transactions at prices ranging from $1.75 to $1.85. 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 |
| September 19, 2017 Filed Sep 19, 2017 17:54 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 1,460 | $1.65 | $2,409.00 |
DisclosureSEC source: 0000899243-17-022292 · 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: 5,074,113 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 |
| September 15, 2017 Filed Sep 19, 2017 17:54 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 350,000 | $1.65 | $577,500.00 |
DisclosureSEC source: 0000899243-17-022292 · 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: 5,072,653 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 |
| September 14, 2017 Filed Sep 15, 2017 16:51 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 40,098 | $22.04 | $883,840.12 |
DisclosureSEC source: 0000899243-17-022144 · doc4.xml · nonDerivative · entry 2 WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner ESW Capital, LLC · CIK 0001477025 · 10% owner LIEMANDT JOSEPH · CIK 0001295389 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,122,028 F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.12. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. F2 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned subsidiary of ESW Capital, LLC ("ESW"). The sole voting member of ESW is Joseph A. Liemandt ("Mr. Liemandt"). Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any. Read SEC document |
| September 13, 2017 Filed Sep 15, 2017 16:51 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 4,805 | $22.25 | $106,890.59 |
DisclosureSEC source: 0000899243-17-022144 · doc4.xml · nonDerivative · entry 1 WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner ESW Capital, LLC · CIK 0001477025 · 10% owner LIEMANDT JOSEPH · CIK 0001295389 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,162,126 F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.50. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. F2 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned subsidiary of ESW Capital, LLC ("ESW"). The sole voting member of ESW is Joseph A. Liemandt ("Mr. Liemandt"). Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any. Read SEC document |
| September 12, 2017 Filed Sep 13, 2017 16:05 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 5,000 | $22.10 | $110,514.00 |
DisclosureSEC source: 0000899243-17-021998 · doc4.xml · nonDerivative · entry 2 WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner ESW Capital, LLC · CIK 0001477025 · 10% owner LIEMANDT JOSEPH · CIK 0001295389 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,166,931 F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $21.99 to $22.38. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. F2 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned subsidiary of ESW Capital, LLC ("ESW"). The sole voting member of ESW is Joseph A. Liemandt ("Mr. Liemandt"). Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any. Read SEC document |
| September 11, 2017 Filed Sep 13, 2017 16:05 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 15,000 | $22.58 | $338,694.00 |
DisclosureSEC source: 0000899243-17-021998 · doc4.xml · nonDerivative · entry 1 WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner ESW Capital, LLC · CIK 0001477025 · 10% owner LIEMANDT JOSEPH · CIK 0001295389 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,171,931 F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $22.41 to $23.03. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. F2 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned subsidiary of ESW Capital, LLC ("ESW"). The sole voting member of ESW is Joseph A. Liemandt ("Mr. Liemandt"). Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any. Read SEC document |
| September 08, 2017 Filed Sep 11, 2017 15:37 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 28,766 | $1.25 | $35,957.50 |
DisclosureSEC source: 0000899243-17-021787 · 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: 4,722,653 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 |
| September 07, 2017 Filed Sep 11, 2017 15:37 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 20,400 | $22.46 | $458,118.72 |
DisclosureSEC source: 0000899243-17-021786 · doc4.xml · nonDerivative · entry 2 WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner ESW Capital, LLC · CIK 0001477025 · 10% owner LIEMANDT JOSEPH · CIK 0001295389 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,186,931 F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $22.09 to $22.79. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. F2 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned subsidiary of ESW Capital, LLC ("ESW"). The sole voting member of ESW is Joseph A. Liemandt ("Mr. Liemandt"). Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any. Read SEC document |
| September 07, 2017 Filed Sep 11, 2017 15:37 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 15,000 | $22.26 | $333,972.00 |
DisclosureSEC source: 0000899243-17-021786 · doc4.xml · nonDerivative · entry 1 WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner ESW Capital, LLC · CIK 0001477025 · 10% owner LIEMANDT JOSEPH · CIK 0001295389 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,207,331 F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $22.20 to $22.71. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. F2 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned subsidiary of ESW Capital, LLC ("ESW"). The sole voting member of ESW is Joseph A. Liemandt ("Mr. Liemandt"). Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any. Read SEC document |
| September 07, 2017 Filed Sep 11, 2017 15:37 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 172,894 | $1.20 | $207,472.80 |
DisclosureSEC source: 0000899243-17-021787 · 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: 4,693,887 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 29, 2017 Filed Aug 30, 2017 16:13 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 23,845 | $1.10 | $26,229.50 |
DisclosureSEC source: 0000899243-17-021270 · 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: 4,520,993 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 28, 2017 Filed Aug 30, 2017 16:13 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 16 | $1.10 | $17.60 |
DisclosureSEC source: 0000899243-17-021270 · 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: 4,497,148 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 24, 2017 Filed Aug 25, 2017 20:01 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 4,503 | $1.05 | $4,728.15 |
DisclosureSEC source: 0000899243-17-021054 · doc4.xml · nonDerivative · entry 5 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: 4,497,132 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 23, 2017 Filed Aug 25, 2017 20:01 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 2,702 | $1.05 | $2,837.10 |
DisclosureSEC source: 0000899243-17-021054 · 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: 4,492,629 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 23, 2017 Filed Aug 28, 2017 08:03 UTC | FALCONSTOR SOFTWARE INC FALC · Entity 115263 | PurchaseCommon Stock | 349,941 | $0.39 | $135,952.08 |
DisclosureSEC source: 0000899243-17-021060 · 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: 6,399,361 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.38 to $0.40, inclusive. 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 22, 2017 Filed Aug 28, 2017 08:03 UTC | FALCONSTOR SOFTWARE INC FALC · Entity 115263 | PurchaseCommon Stock | 1,032,943 | $0.36 | $370,516.65 |
DisclosureSEC source: 0000899243-17-021060 · 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: 6,049,420 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.33 to $0.40, inclusive. 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 21, 2017 Filed Aug 25, 2017 20:01 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 398,447 | $1.10 | $437,893.25 |
DisclosureSEC source: 0000899243-17-021054 · 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: 4,489,927 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.05 to $1.10, inclusive. 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 18, 2017 Filed Aug 25, 2017 20:01 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 3,339 | $1.05 | $3,505.95 |
DisclosureSEC source: 0000899243-17-021054 · 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: 4,091,480 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 17, 2017 Filed Aug 25, 2017 20:01 UTC | MARIN SOFTWARE INC MRIN · Entity 75656 | PurchaseCommon Stock | 181 | $1.10 | $199.10 |
DisclosureSEC source: 0000899243-17-021054 · 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: 4,088,141 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 |
| July 24, 2017 Filed Jul 24, 2017 20:20 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 38,500 | $25.04 | $963,897.55 |
DisclosureSEC source: 0000899243-17-018781 · doc4.xml · nonDerivative · entry 3 WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner ESW Capital, LLC · CIK 0001477025 · 10% owner LIEMANDT JOSEPH · CIK 0001295389 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,222,331 F1 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned subsidiary of ESW Capital, LLC ("ESW"). The sole voting member of ESW is Joseph A. Liemandt ("Mr. Liemandt"). Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any. Read SEC document |
| July 21, 2017 Filed Jul 24, 2017 20:20 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 34,000 | $25.01 | $850,268.60 |
DisclosureSEC source: 0000899243-17-018781 · doc4.xml · nonDerivative · entry 2 WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner ESW Capital, LLC · CIK 0001477025 · 10% owner LIEMANDT JOSEPH · CIK 0001295389 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,260,831 F1 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned subsidiary of ESW Capital, LLC ("ESW"). The sole voting member of ESW is Joseph A. Liemandt ("Mr. Liemandt"). Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any. Read SEC document |
| July 20, 2017 Filed Jul 24, 2017 20:20 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 18,780 | $22.83 | $428,830.03 |
DisclosureSEC source: 0000899243-17-018781 · doc4.xml · nonDerivative · entry 1 WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner ESW Capital, LLC · CIK 0001477025 · 10% owner LIEMANDT JOSEPH · CIK 0001295389 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,294,831 F1 · ownership.direct: Wave Systems Corp. ("Wave") is a wholly-owned subsidiary of ESW Capital, LLC ("ESW"). The sole voting member of ESW is Joseph A. Liemandt ("Mr. Liemandt"). Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any. Read SEC document |
| June 23, 2017 Filed Jun 27, 2017 17:17 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 561,712 | $22.68 | $12,742,155.86 |
DisclosureSEC source: 0000899243-17-017297 · doc4.xml · nonDerivative · entry 1 WAVE SYSTEMS CORP · CIK 0000919013 · 10% owner ESW Capital, LLC · CIK 0001477025 · 10% owner LIEMANDT JOSEPH · CIK 0001295389 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,313,611 F1 · ownership.direct: Wave Systems Corp. is a wholly-owned subsidiary of ESW Capital, LLC ("ESW"). The sole voting member of ESW is Joseph A. Liemandt ("Mr. Liemandt"). Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any. Read SEC document |
| May 30, 2017 Filed Jul 25, 2017 12:18 UTC | Upland Software, Inc. UPLD · Entity 7891 | OtherCommon Stock | 2,875,323 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-028546 · form4.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: Indirect · See Footnote Disclosed balance after: 2,875,323 F2 · kind: On May 30, 2017, ESW contributed to Wave Systems Corp. ("Wave"), a controlled subsidiary of ESW, for no consideration all of the shares held directly by ESW. F3 · ownership.nature: As of May 30, 2017, these shares are held directly by Wave, a controlled subsidiary of ESW. Each of Mr. Liemandt and ESW disclaims Section 16 beneficial ownership of the shares held by Wave, except to the extent, if any, of their respective pecuniary interest therein. Read SEC document |
| May 30, 2017 Filed Jul 25, 2017 12:18 UTC | Upland Software, Inc. UPLD · Entity 7891 | OtherCommon Stock | 2,875,323 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-028546 · form4.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: 2,875,323 F2 · kind: On May 30, 2017, ESW contributed to Wave Systems Corp. ("Wave"), a controlled subsidiary of ESW, for no consideration all of the shares held directly by ESW. Read SEC document |
| November 04, 2016 Filed Jul 25, 2017 12:18 UTC | Upland Software, Inc. UPLD · Entity 7891 | PurchaseCommon Stock | 1,500 | $8.00 | $12,000.00 |
DisclosureSEC source: 0001140361-17-028546 · form4.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: 2,875,323 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.