SEC Form 4 · accession 0001104659-17-069705
Upland Software, Inc. · UPLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John D Thornton
10% Owner
Period of report
Nov 16, 2017
Accepted (ET)
Nov 20, 2017 · 9:07 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 StockF2 | Nov 16, 2017 | J | 873,034 | $0.00 | D | 0 | I | By Austin Ventures IX, L.P. |
| Common StockF4 | Nov 16, 2017 | J | 1,309,550 | $0.00 | D | 0 | I | By Austin Ventures X, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Austin Ventures IX, L.P. ("AV IX") made a pro rata distribution to its partners of 873,034 shares of common stock of the issuer for no consideration on November 16, 2017.
- F2Shares held directly by AV IX. AV Partners IX, L.P. ("AVP IX LP"), the general partner of AV IX, and AV Partners IX, L.L.C. ("AVP IX LLC"), the general partner AVP IX LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV IX. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP IX LLC and may be deemed to share voting and dispositive power over the shares held by AV IX. Such persons and entities disclaim beneficial ownership of shares held by AV IX, except to the extent of any pecuniary interest therein.
- F3Austin Ventures X, L.P. ("AV X") made a pro rata distribution to its partners of 1,309,550 shares of common stock of the issuer for no consideration on November 16, 2017.
- F4Shares held directly by AV X. AV Partners X, L.P. ("AVP X LP"), the general partner of AV X, and AV Partners X, L.L.C. ("AVP X LLC"), the general partner AVP X LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV X. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP X LLC and may be deemed to share voting and dispositive power over the shares held by AV X. Such persons and entities disclaim beneficial ownership of shares held by AV X, except to the extent of any pecuniary interest therein.
Remarks
This report is one of three reports, each on a separate Form 4 but relating to the same transactions.