TapewireFind a company

person · Reporting owner

MARRIOTT DAN

Disclosed activity across 1 company

Tapewire entity
148808
SEC CIK
0001184242

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
UPWORK, INCUPWK · Entity 4876DirectorJune 01, 2020June 02, 2020

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.

UPWORK, INC

Report date June 01, 2020 · Filed June 02, 2020

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect190,730 Ending reported balance After 2020-06-01 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2020-06-01 · Grant · Acquired 12,952 · Balance 187,708

F1: Represents an award of RSUs. The RSUs vest 100% on the earlier of (a) the date immediately prior to the Issuer's 2021 annual meeting of stockholders and (b) June 1, 2021, in each case subject to the continuing service of the Reporting Holder through such date.

Row 2 · 2020-06-01 · Grant · Acquired 3,022 · Balance 190,730

F2: Represents an award of RSUs. The RSUs vest quarterly over four quarters (with the first such vesting date occurring on September 30, 2020), subject to the continuing service of the Reporting Holder on each vesting date; provided, however, that the final quarterly installment shall fully vest on the earlier of (a) the date immediately prior to the Issuer's 2021 annual meeting of stockholders and (b) the date that is the last day of the last full quarter of the vesting of such award, in each case subject to the continuing service of the Reporting Holder through such date.

Filing footnotes · ownership attribution and instrument terms

F1: Represents an award of RSUs. The RSUs vest 100% on the earlier of (a) the date immediately prior to the Issuer's 2021 annual meeting of stockholders and (b) June 1, 2021, in each case subject to the continuing service of the Reporting Holder through such date.

F2: Represents an award of RSUs. The RSUs vest quarterly over four quarters (with the first such vesting date occurring on September 30, 2020), subject to the continuing service of the Reporting Holder on each vesting date; provided, however, that the final quarterly installment shall fully vest on the earlier of (a) the date immediately prior to the Issuer's 2021 annual meeting of stockholders and (b) the date that is the last day of the last full quarter of the vesting of such award, in each case subject to the continuing service of the Reporting Holder through such date.

Transaction history

JSON API
Reset

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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 01, 2020 Filed Jun 2, 2020 19:13 UTC UPWORK, INC UPWK · Entity 4876 GrantCommon Stock 3,022 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-033749 · doc4.xml · nonDerivative · entry 2

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,730

F2 · shares: Represents an award of RSUs. The RSUs vest quarterly over four quarters (with the first such vesting date occurring on September 30, 2020), subject to the continuing service of the Reporting Holder on each vesting date; provided, however, that the final quarterly installment shall fully vest on the earlier of (a) the date immediately prior to the Issuer's 2021 annual meeting of stockholders and (b) the date that is the last day of the last full quarter of the vesting of such award, in each case subject to the continuing service of the Reporting Holder through such date.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 19:13 UTC UPWORK, INC UPWK · Entity 4876 GrantCommon Stock 12,952 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-033749 · doc4.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,708

F1 · shares: Represents an award of RSUs. The RSUs vest 100% on the earlier of (a) the date immediately prior to the Issuer's 2021 annual meeting of stockholders and (b) June 1, 2021, in each case subject to the continuing service of the Reporting Holder through such date.

Read SEC document
March 06, 2020 Filed Mar 9, 2020 20:21 UTC UPWORK, INC UPWK · Entity 4876 Disposition to issuerCommon Stock 305,127 $8.12 $2,477,631.24
Disclosure

SEC source: 0000899243-20-007684 · doc4.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 0

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F2 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $7.88 to $8.46 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
March 05, 2020 Filed Mar 5, 2020 19:48 UTC UPWORK, INC UPWK · Entity 4876 Disposition to issuerCommon Stock 121,828 $8.08 $984,370.24
Disclosure

SEC source: 0000899243-20-007267 · doc4.xml · nonDerivative · entry 3

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 305,127

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F4 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $8.00 to $8.20 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
March 04, 2020 Filed Mar 5, 2020 19:48 UTC UPWORK, INC UPWK · Entity 4876 Disposition to issuerCommon Stock 250,000 $8.28 $2,070,000.00
Disclosure

SEC source: 0000899243-20-007267 · doc4.xml · nonDerivative · entry 2

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 426,955

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F3 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $8.00 to $8.41 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
March 03, 2020 Filed Mar 5, 2020 19:48 UTC UPWORK, INC UPWK · Entity 4876 Disposition to issuerCommon Stock 124,867 $8.13 $1,015,168.71
Disclosure

SEC source: 0000899243-20-007267 · doc4.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 676,955

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F2 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $8.00 to $8.45 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
November 26, 2019 Filed Nov 26, 2019 20:39 UTC UPWORK, INC UPWK · Entity 4876 Disposition to issuerCommon Stock 28,781 $11.57 $332,996.17
Disclosure

SEC source: 0000899243-19-028185 · doc4.xml · nonDerivative · entry 3

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 801,822

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F4 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $11.50 to $11.64 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
November 25, 2019 Filed Nov 26, 2019 20:39 UTC UPWORK, INC UPWK · Entity 4876 Disposition to issuerCommon Stock 250,000 $11.67 $2,917,500.00
Disclosure

SEC source: 0000899243-19-028185 · doc4.xml · nonDerivative · entry 2

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 830,603

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F3 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $11.43 to $11.76 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
November 22, 2019 Filed Nov 26, 2019 20:39 UTC UPWORK, INC UPWK · Entity 4876 Disposition to issuerCommon Stock 200,012 $11.28 $2,256,135.36
Disclosure

SEC source: 0000899243-19-028185 · doc4.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 1,080,603

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F2 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $11.25 to $11.49 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
November 13, 2019 Filed Nov 14, 2019 18:55 UTC UPWORK, INC UPWK · Entity 4876 Disposition to issuerCommon Stock 6,701 $12.01 $80,479.01
Disclosure

SEC source: 0000899243-19-027304 · doc4.xml · nonDerivative · entry 2

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 1,280,615

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F3 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $12.00 to $12.04 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
November 12, 2019 Filed Nov 14, 2019 18:55 UTC UPWORK, INC UPWK · Entity 4876 Disposition to issuerCommon Stock 167,507 $12.14 $2,033,534.98
Disclosure

SEC source: 0000899243-19-027304 · doc4.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by Stripes I, LP (f/k/a SG Growth Partners I, L.P.)

Disclosed balance after: 1,287,316

F1 · shares: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

F2 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $12.01 to $12.35 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F1 · ownership.nature: Stripes GP I, LLC (f/k/a SGGP I, LLC ("SGP")) has sole voting and dispositive power over the shares held by Stripes I, LP (f/k/a SG Growth Partners I, L.P.) Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SGP.

Read SEC document
August 09, 2019 Filed Aug 12, 2019 16:48 UTC UPWORK, INC UPWK · Entity 4876 SaleCommon Stock 1,200,000 $15.06 $18,072,000.00
Disclosure

SEC source: 0000899243-19-021587 · doc4.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by SG Growth Partners I, L.P.

Disclosed balance after: 1,454,823

F1 · shares: SGGP I, LLC ("SG GP") has sole voting and dispositive power over the shares held by SG Growth Partners I, L.P. Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SG GP.

F1 · ownership.nature: SGGP I, LLC ("SG GP") has sole voting and dispositive power over the shares held by SG Growth Partners I, L.P. Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SG GP.

Read SEC document
June 05, 2019 Filed Jun 7, 2019 17:17 UTC UPWORK, INC UPWK · Entity 4876 GrantCommon Stock 11,314 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-016047 · doc4.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,756

F1 · shares: Represents awards of: (i) 9,174 restricted stock units ("RSUs") that vest on the earlier of (a) the date of the Issuer's 2020 annual meeting of stockholders and (b) June 5, 2020, in each case subject to the continuing service of the Reporting Person through such date; and (ii) 2,140 RSUs that vest quarterly over four quarters (with the first such vesting date occurring on September 30, 2019), subject to the continuing service of the Reporting Person on each vesting date. The final quarterly installment shall fully vest on the earlier of (i) the date of the Issuer's 2020 annual meeting of stockholders and (ii) the date that is the last day of the last full quarter of the vesting of such award, in each case subject to the continuing service of the Reporting Person through such date.

F2 · balance_after: Represents: (i) the 11,314 RSUs reported in column 4 of Table I; (ii) 154,192 shares received via pro rata distributions previously reported on the Form 4 filed by the Reporting Person on May 31, 2019; and (iii) 9,250 vested RSUs.

Read SEC document
May 29, 2019 Filed May 31, 2019 20:48 UTC UPWORK, INC UPWK · Entity 4876 OtherCommon Stock 154,192 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-015333 · doc4.xml · nonDerivative · entry 2

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,442

F3 · kind: Transactions reported on this line represent pro rata distributions, and not a purchase or sale of securities, received by the Reporting Person.

F4 · balance_after: Represents: (i) 154,192 shares received via pro rata distributions; (ii) 584 restricted stock units ("RSUs") that vest on the earlier of (a) the date of the first annual meeting of the Issuer's stockholders and (b) June 30, 2019, in each case subject to the continuing service of the Reporting Person through such date; (iii) 1,166 vested RSUs; and (iv) 7,500 RSUs that vest on the earlier of (a) the date of the first annual meeting of the Issuer's stockholders and (b) July 3, 2019, in each case subject to the continuing service of the Reporting Person through such date.

Read SEC document
May 29, 2019 Filed May 31, 2019 20:48 UTC UPWORK, INC UPWK · Entity 4876 OtherCommon Stock 386,811 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-015333 · doc4.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by SG Growth Partners I, L.P.

Disclosed balance after: 2,654,823

F1 · kind: Transactions reported on this line represent pro rata distributions, and not a purchase or sale of securities.

F2 · ownership.nature: SGGP I, LLC ("SG GP") has sole voting and dispositive power over the shares held by SG Growth Partners I, L.P. Voting decisions with respect to such shares are made by Kenneth A. Fox and the Reporting Person, as the investment committee of SG GP.

Read SEC document
May 09, 2019 Filed May 13, 2019 18:16 UTC UPWORK, INC UPWK · Entity 4876 OtherCommon Stock 2,132,734 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-013334 · doc4.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,041,634

F1 · kind: Transactions reported on this form represent pro rata distributions, and not a purchase or sale of securities, by SG Growth Partners I, L.P. ("SG LP") to its limited partners and its general partner, SGGP I, LLC ("SG GP"), and certain of its affiliates, without consideration.

F2 · ownership.nature: SG GP has sole voting and dispositive power over the shares held by SG LP. Voting decisions with respect to such shares are made by Kenneth A. Fox and Dan Marriott, the Reporting Person and a member of the Issuer's board of directors, as the investment committee of SG GP.

Read SEC document
October 05, 2018 Filed Oct 5, 2018 20:14 UTC UPWORK, INC UPWK · Entity 4876 ConversionSeries B-1 Preferred Stock · Derivative 181,277 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001567619-18-003832 · doc1.xml · derivative · entry 5

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by SG Growth Partners I, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 181,277 shares

Expires not disclosed

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

F1 · derivative.exercise_price: In connection with the consummation of the Issuer's initial public offering on October 5, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.exercise_date: In connection with the consummation of the Issuer's initial public offering on October 5, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.expiration_date: In connection with the consummation of the Issuer's initial public offering on October 5, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F2 · ownership.nature: SGGP I, LLC, the general partner of SG Growth Partners I L.P. ("SG LP"), has sole voting and dispositive power over the shares held by SG LP. Voting decisions with respect to such shares are made by Kenneth A. Fox and Daniel C. Marriott, the Reporting Person and a member of the Issuer's board of directors, as the investment committee of SGGP I, LLC.

Read SEC document
October 05, 2018 Filed Oct 5, 2018 20:14 UTC UPWORK, INC UPWK · Entity 4876 ConversionSeries A-2 Preferred Stock · Derivative 2,639,139 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001567619-18-003832 · doc1.xml · derivative · entry 4

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by SG Growth Partners I, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 2,639,139 shares

Expires not disclosed

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

F1 · derivative.exercise_price: In connection with the consummation of the Issuer's initial public offering on October 5, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.exercise_date: In connection with the consummation of the Issuer's initial public offering on October 5, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.expiration_date: In connection with the consummation of the Issuer's initial public offering on October 5, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F2 · ownership.nature: SGGP I, LLC, the general partner of SG Growth Partners I L.P. ("SG LP"), has sole voting and dispositive power over the shares held by SG LP. Voting decisions with respect to such shares are made by Kenneth A. Fox and Daniel C. Marriott, the Reporting Person and a member of the Issuer's board of directors, as the investment committee of SGGP I, LLC.

Read SEC document
October 05, 2018 Filed Oct 5, 2018 20:14 UTC UPWORK, INC UPWK · Entity 4876 ConversionSeries A-1 Preferred Stock · Derivative 1,200,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001567619-18-003832 · doc1.xml · derivative · entry 3

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by SG Growth Partners I, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,200,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: In connection with the consummation of the Issuer's initial public offering on October 5, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.exercise_date: In connection with the consummation of the Issuer's initial public offering on October 5, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.expiration_date: In connection with the consummation of the Issuer's initial public offering on October 5, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F2 · ownership.nature: SGGP I, LLC, the general partner of SG Growth Partners I L.P. ("SG LP"), has sole voting and dispositive power over the shares held by SG LP. Voting decisions with respect to such shares are made by Kenneth A. Fox and Daniel C. Marriott, the Reporting Person and a member of the Issuer's board of directors, as the investment committee of SGGP I, LLC.

Read SEC document
October 05, 2018 Filed Oct 5, 2018 20:14 UTC UPWORK, INC UPWK · Entity 4876 ConversionCommon Stock 4,020,416 $0.00 $0.00
Disclosure

SEC source: 0001567619-18-003832 · doc1.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held directly by SG Growth Partners I, L.P.

Disclosed balance after: 5,309,646

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

F1 · price: In connection with the consummation of the Issuer's initial public offering on October 5, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F2 · ownership.nature: SGGP I, LLC, the general partner of SG Growth Partners I L.P. ("SG LP"), has sole voting and dispositive power over the shares held by SG LP. Voting decisions with respect to such shares are made by Kenneth A. Fox and Daniel C. Marriott, the Reporting Person and a member of the Issuer's board of directors, as the investment committee of SGGP I, LLC.

Read SEC document
October 03, 2018 Filed Oct 5, 2018 20:04 UTC UPWORK, INC UPWK · Entity 4876 GrantCommon Stock 7,500 $0.00 $0.00
Disclosure

SEC source: 0001567619-18-003822 · doc1.xml · nonDerivative · entry 2

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,250

F2 · shares: Represents an award of RSUs. The RSUs vest on the earlier of (a) the date of the first annual meeting of the Issuer's stockholders and (b) July 3, 2019, in each case subject to the continuing service of the Reporting Person through such date.

Read SEC document
October 03, 2018 Filed Oct 5, 2018 20:04 UTC UPWORK, INC UPWK · Entity 4876 GrantCommon Stock 1,750 $0.00 $0.00
Disclosure

SEC source: 0001567619-18-003822 · doc1.xml · nonDerivative · entry 1

MARRIOTT DAN · CIK 0001184242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,750

F1 · shares: Represents an award of restricted stock units ("RSUs"). The RSUs vest quarterly, over three quarters (with the first such vesting date occurring on December 31, 2018), subject to the continuing service of the Reporting Person on each vesting date. The final quarterly installment shall fully vest on the earlier of (a) the date of the first annual meeting of the Issuer's stockholders and (b) the date that is the last day of the last full quarter of the vesting of such award, in each case subject to the continuing service of the Reporting Person through such date.

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.