0000899243-18-022148.txt : 20180813
0000899243-18-022148.hdr.sgml : 20180813
20180813171937
ACCESSION NUMBER: 0000899243-18-022148
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180809
FILED AS OF DATE: 20180813
DATE AS OF CHANGE: 20180813
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: EPM Live, Inc.
CENTRAL INDEX KEY: 0001137204
STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0228
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36720
FILM NUMBER: 181013373
BUSINESS ADDRESS:
STREET 1: 401 CONGRESS AVENUE
STREET 2: SUITE 2650
CITY: AUSTIN
STATE: TX
ZIP: 78701
BUSINESS PHONE: 5122018287
MAIL ADDRESS:
STREET 1: 401 CONGRESS AVENUE
STREET 2: SUITE 2650
CITY: AUSTIN
STATE: TX
ZIP: 78701
FORMER NAME:
FORMER CONFORMED NAME: HIPCRICKET, INC.
DATE OF NAME CHANGE: 20130826
FORMER NAME:
FORMER CONFORMED NAME: Augme Technologies, Inc.
DATE OF NAME CHANGE: 20100401
FORMER NAME:
FORMER CONFORMED NAME: MODAVOX INC
DATE OF NAME CHANGE: 20051018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ESW Capital, LLC
CENTRAL INDEX KEY: 0001477025
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1209
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36720
FILM NUMBER: 181013374
BUSINESS ADDRESS:
STREET 1: 401 CONGRESS AVENUE
STREET 2: SUITE 2650
CITY: AUSTIN
STATE: TX
ZIP: 78701
BUSINESS PHONE: 512-524-6149
MAIL ADDRESS:
STREET 1: 401 CONGRESS AVENUE
STREET 2: SUITE 2650
CITY: AUSTIN
STATE: TX
ZIP: 78701
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LIEMANDT JOSEPH
CENTRAL INDEX KEY: 0001295389
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36720
FILM NUMBER: 181013375
MAIL ADDRESS:
STREET 1: 5001 PLAZA ON THE LAKE
CITY: AUSTIN
STATE: TX
ZIP: 78746
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-08-09
0
0001505155
Upland Software, Inc.
UPLD
0001137204
EPM Live, Inc.
401 CONGRESS AVE., SUITE 2650
AUSTIN
TX
78701
0
0
0
1
Member of 10% owner group
0001477025
ESW Capital, LLC
401 CONGRESS AVE., SUITE 2650
AUSTIN
TX
78701
0
0
1
0
0001295389
LIEMANDT JOSEPH
401 CONGRESS AVE., SUITE 2650
AUSTIN
TX
78701
0
0
1
0
Common Stock
2018-08-09
4
S
0
8021
34.973
D
991979
D
Common Stock
2018-08-09
4
S
0
37579
36.9432
D
954400
D
Common Stock
2018-08-09
4
S
0
1
38.00
D
954399
D
Common Stock
2018-08-10
4
S
0
4123
35.0051
D
950276
D
Common Stock
2018-08-13
4
S
0
5377
35.0106
D
944899
D
Common Stock
2748473
I
See Footnote
Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $34.90 to $35.10. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
These shares are held directly by EPM Live, Inc. ("EPM"), a controlled subsidiary of ESW Capital, LLC ("ESW"). The sole voting member of ESW is Joseph A. Liemandt ("Mr. Liemandt"). Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any.
Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $36.69 to $37.30. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $34.96 to $35.05. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $34.90 to $35.10. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
Represents 1,803,574 shares directly held by Acorn Performance Group, Inc. ("Acorn") and the 944,899 shares directly held by EPM reported in note 2 above. Acorn and EPM are controlled subsidiaries of ESW. Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any.
/s/ Andrew Price, Chief Financial Officer of EPM Live, Inc.
2018-08-13
/s/ Andrew Price, Chief Financial Officer of ESW Capital, LLC
2018-08-13
/s/ Joseph Liemandt
2018-08-13