SEC Form 4 · accession 0001624067-18-000012
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
Aug 29, 2018
Accepted (ET)
Aug 31, 2018 · 4:01 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 | Aug 29, 2018 | S | 1,099 | $38.0032 | D | 449,690 | D | |
| Common StockF3 | Aug 30, 2018 | S | 15,901 | $38.1046 | D | 433,789 | 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.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.00 to $38.025, 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 $38.00 to $38.27, 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.