SEC Form 4 · accession 0001094792-18-000019
Upland Software, Inc. · UPLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John T McDonald
Officer — CEO · Director
Period of report
Sep 4, 2018
Accepted (ET)
Sep 6, 2018 · 6:02 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 StockF2 | Sep 4, 2018 | S | 16,551 | $35.8978 | D | 1,700,144 | D | |
| Common StockF3 | Sep 4, 2018 | S | 9,839 | $36.2422 | D | 1,690,305 | D | |
| Common StockF4 | Sep 5, 2018 | S | 7,432 | $34.7236 | D | 1,682,873 | D | |
| Common StockF5 | Sep 5, 2018 | S | 19,231 | $35.5076 | D | 1,663,642 | D | |
| Common StockF6 | Sep 6, 2018 | S | 20,744 | $35.263 | D | 1,642,898 | D | |
| Common Stock | holding | — | — | — | 193,738 | I | By MLPF&S as Cust. FBO J. McDonald IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.58 to $35.99, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder of Upland Software, Inc., 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 ranges set forth in this footnote to this Form 4.
- F3The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.73, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder of Upland Software, Inc., 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 ranges set forth in this footnote to this Form 4.
- F4The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.41 to $34.98, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder of Upland Software, Inc., 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 ranges set forth in this footnote to this Form 4.
- F5The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.91, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder of Upland Software, Inc., 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 ranges set forth in this footnote to this Form 4.
- F6The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.05 to $35.62, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder of Upland Software, Inc., 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 ranges set forth in this footnote to this Form 4.