0001094792-18-000008.txt : 20180320 0001094792-18-000008.hdr.sgml : 20180320 20180320174620 ACCESSION NUMBER: 0001094792-18-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180316 FILED AS OF DATE: 20180320 DATE AS OF CHANGE: 20180320 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCDONALD JOHN T CENTRAL INDEX KEY: 0001094792 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36720 FILM NUMBER: 18702795 MAIL ADDRESS: STREET 1: C/O UPLAND SOFTWARE INC. STREET 2: 401 CONGRESS AVE., SUITE 1850 CITY: AUSTIN STATE: TX ZIP: 78701 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Upland Software, Inc. CENTRAL INDEX KEY: 0001505155 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 272992077 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 401 CONGRESS AVE. STREET 2: SUITE 1850 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 512-960-1010 MAIL ADDRESS: STREET 1: 401 CONGRESS AVE. STREET 2: SUITE 1850 CITY: AUSTIN STATE: TX ZIP: 78701 FORMER COMPANY: FORMER CONFORMED NAME: Silverback Acquisition Corp DATE OF NAME CHANGE: 20101105 4 1 wf-form4_152158236667081.xml FORM 4 X0306 4 2018-03-16 0 0001505155 Upland Software, Inc. UPLD 0001094792 MCDONALD JOHN T 401 CONGRESS AVE., STE 1850 AUSTIN TX 78701 1 1 1 0 CEO Common Stock 2018-03-19 4 S 0 10000 28.2425 D 233738 I By MLPF&S as Cust. FBO J. McDonald IRA Common Stock 2018-03-16 4 F 0 4735 28.62 D 1622206 D Shares were sold pursuant to shareholder's 10b5-1 trading plan adopted by owner on August 21, 2017, with an effective date of March 19, 2018. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.95 to $28.64, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any securityholder 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. Shares withheld by the issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock awarded under the issuer's 2014 Equity Incentive Plan. This is not an open market sale of securities. Excludes 233,738 shares held indirectly by MLFPF&S as Cust. FBO J.McDonald IRA for a total of 1,855,944 shares. /s/ Toni Nguyen, Attorney-In-Fact 2018-03-20