SEC Form 4 · accession 0001624067-16-000007
Upland Software, Inc. · UPLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Mattox
Officer — President & COO
Period of report
Mar 24, 2016
Accepted (ET)
Mar 28, 2016 · 7:45 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 24, 2016 | A | 150,000 | $6.81 | A | 370,916 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Unvested shares are subject to forfeiture to the Company. The shares will vest over a time period measured from a vesting commencement date of 12/16/15 as follows: twenty-five percent of the shares vest on the first anniversary of the vesting commencement date, twenty-five percent of the shares vest on the second anniversary of the vesting commencement date, twenty-five percent of the shares vest on the third anniversary of the vesting commencement date, and twenty-five percent of the shares vest on the fourth anniversary of the vesting commencement date. In each case, the vesting is subject to reporting person's status as a service provider through the applicable vesting date.