SEC Form 3 · accession 0000897423-15-000059
Upland Software, Inc. · UPLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Nov 23, 2015
Accepted (ET)
Dec 3, 2015 · 12:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001505155
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F4,F6 | holding | — | — | — | 1,351,159 | D | ||
| Common StockF1,F3,F5,F6 | holding | — | — | — | 192,708 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On November 25, 2015, Kleinheinz Capital Partners, Inc. ("Kleinheinz Capital"), MJBW Investments, LP ("MJBW"), MJBW Genpar, LLC ("Genpar"), Global Undervalued Securities Master Fund, L.P. ("Global Master"), and John B. Kleinheinz ("Mr. Kleinheinz") made a joint filing under Section 13(d) of the Securities Exchange Act of 1934, as amended, relating to the common stock of Upland Software, Inc. (the "Common Stock").
- F2Represents shares of Common Stock directly beneficially owned by Global Master.
- F3Represents shares of Common Stock directly beneficially owned by MJBW.
- F4Kleinheinz Capital is the general partner of Global Master and indirectly benefically owns the shares of Common Stock owned by Global Master.
- F5Genpar is the general partner of MJBW and indirectly benefically owns the shares of Common Stock owned by MJBW.
- F6Mr. Kleinheinz is the sole director and President of Kleinheinz Capital and is the sole member and President of Genpar and indirectly beneficially owns the shares of Common Stock owned by Global Master and MJBW. Mr. Kleinheinz, Kleinheinz Capital and Genpar disclaim any beneficial ownership of shares of Common Stock, except to the extent of any pecuniary interest therein.