SEC Form 4 · accession 0001289889-17-000011
Upland Software, Inc. · UPLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Douglass Hill
Officer — CFO,Treasurer & Secretary
Period of report
Oct 5, 2017
Accepted (ET)
Oct 10, 2017 · 5:29 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 | Oct 5, 2017 | S | 2,558 | $22.0161 | D | 303,930 | D | |
| Common StockF3 | Oct 6, 2017 | S | 7,500 | $22.0105 | D | 296,430 | D | |
| Common StockF4 | Oct 9, 2017 | S | 500 | $22.004 | D | 295,930 | D | |
| Common StockF5 | Oct 10, 2017 | S | 9,442 | $22.00 | D | 286,488 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on May 26, 2017, with an effective date of September 15, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.02, 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 in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.045, 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 in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.04, 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.
- F5These shares were sold in multiple transactions at a price of $22.00. 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.