0001144204-17-060232.txt : 20171120 0001144204-17-060232.hdr.sgml : 20171120 20171120185258 ACCESSION NUMBER: 0001144204-17-060232 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171116 FILED AS OF DATE: 20171120 DATE AS OF CHANGE: 20171120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Siegel Philip S CENTRAL INDEX KEY: 0001414028 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36720 FILM NUMBER: 171215055 MAIL ADDRESS: STREET 1: C/O AUSTIN VENTURES STREET 2: 300 WEST 6TH STREET, SUITE 2300 CITY: AUSTIN STATE: TX ZIP: 78701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARAGONA JOSEPH C CENTRAL INDEX KEY: 0001232296 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36720 FILM NUMBER: 171215058 MAIL ADDRESS: STREET 1: C/O AUSTIN VENTURES STREET 2: 300 W. SIXTH ST., STE. 2300 CITY: AUSTIN STATE: TX ZIP: 78701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DEANGELIS KENNETH P CENTRAL INDEX KEY: 0001250010 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36720 FILM NUMBER: 171215057 MAIL ADDRESS: STREET 1: 300 WEST SIXTH ST STE 2300 CITY: AUSTIN STATE: TX ZIP: 78701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PACITTI CHRISTOPHER A CENTRAL INDEX KEY: 0001278614 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36720 FILM NUMBER: 171215056 MAIL ADDRESS: STREET 1: 300 WEST SIXTH STREET STREET 2: SUITE 2300 CITY: AUSTIN STATE: TX ZIP: 78701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AV Partners IX LLC CENTRAL INDEX KEY: 0001414047 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36720 FILM NUMBER: 171215059 BUSINESS ADDRESS: STREET 1: C/O AUSTIN VENTURES STREET 2: 300 WEST 6TH STREET, SUITE 2300 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 512-485-1900 MAIL ADDRESS: STREET 1: C/O AUSTIN VENTURES STREET 2: 300 WEST 6TH STREET, SUITE 2300 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 tv479984_4.xml OWNERSHIP DOCUMENT X0306 4 2017-11-16 1 0001505155 Upland Software, Inc. UPLD 0001414047 AV Partners IX LLC 300 W. SIXTH STREET, STE. 2300 AUSTIN TX 78701 0 0 1 0 0001232296 ARAGONA JOSEPH C 300 W. SIXTH STREET, STE. 2300 AUSTIN TX 78701 0 0 1 0 0001250010 DEANGELIS KENNETH P 300 W. SIXTH STREET, STE. 2300 AUSTIN TX 78701 0 0 1 0 0001278614 PACITTI CHRISTOPHER A 300 W. SIXTH STREET, STE. 2300 AUSTIN TX 78701 0 0 1 0 0001414028 Siegel Philip S 300 W. SIXTH STREET, STE. 2300 AUSTIN TX 78701 0 0 1 0 Common Stock 2017-11-16 4 J 0 873034 0.00 D 0 I By Austin Ventures IX, L.P. Common Stock 2017-11-16 4 J 0 1309550 0.00 D 0 I By Austin Ventures X, L.P. Austin Ventures IX, L.P. ("AV IX") made a pro rata distribution to its partners of 873,034 shares of common stock of the issuer for no consideration on November 16, 2017. Shares held directly by AV IX. AV Partners IX, L.P. ("AVP IX LP"), the general partner of AV IX, and AV Partners IX, L.L.C. ("AVP IX LLC"), the general partner AVP IX LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV IX. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP IX LLC and may be deemed to share voting and dispositive power over the shares held by AV IX. Such persons and entities disclaim beneficial ownership of shares held by AV IX, except to the extent of any pecuniary interest therein. Austin Ventures X, L.P. ("AV X") made a pro rata distribution to its partners of 1,309,550 shares of common stock of the issuer for no consideration on November 16, 2017. Shares held directly by AV X. AV Partners X, L.P. ("AVP X LP"), the general partner of AV X, and AV Partners X, L.L.C. ("AVP X LLC"), the general partner AVP X LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV X. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP X LLC and may be deemed to share voting and dispositive power over the shares held by AV X. Such persons and entities disclaim beneficial ownership of shares held by AV X, except to the extent of any pecuniary interest therein. This report is one of three reports, each on a separate Form 4 but relating to the same transactions. /s/Kevin Kunz, Attorney-in-Fact 2017-11-17 /s/Kevin Kunz, Attorney-in-Fact 2017-11-17 /s/Kevin Kunz, Attorney-in-Fact 2017-11-17 /s/Kevin Kunz, Attorney-in-Fact 2017-11-17 /s/Kevin Kunz, Attorney-in-Fact 2017-11-17