SEC Form 4 · accession 0001094792-17-000004
Upland Software, Inc. · UPLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John T McDonald
Officer — CEO · Director · 10% Owner
Period of report
Mar 30, 2017
Accepted (ET)
Mar 31, 2017 · 4:22 pm EDT
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 | Mar 30, 2017 | A | 144,000 | $15.50 | A | 1,974,518 | D | |
| Common StockF3 | Mar 30, 2017 | F | 3,411 | $15.50 | D | 1,971,107 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares vest in twelve equal quarterly installments starting on March 16, 2017 and ending on December 16, 2019; provided that the participant continues to be a service provider through each such vesting date.
- F2Shares withheld by the issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock awarded under the issuers 2014 Equity Incentive Plan. This is not an open market sale of securities.
- F3Excludes 243,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 2,214,845 shares