0001062993-16-010130.txt : 20160608
0001062993-16-010130.hdr.sgml : 20160608
20160608160601
ACCESSION NUMBER: 0001062993-16-010130
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160603
FILED AS OF DATE: 20160608
DATE AS OF CHANGE: 20160608
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
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: 161703630
MAIL ADDRESS:
STREET 1: 5001 PLAZA ON THE LAKE
CITY: AUSTIN
STATE: TX
ZIP: 78746
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: 161703631
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
4
1
form4.xml
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
X0306
4
2016-06-03
0001505155
Upland Software, Inc.
UPLD
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
2016-06-03
4
P
0
15000
7.1567
A
2603131
D
Common Stock
2016-06-06
4
P
0
31843
7.1766
A
2634974
D
Common Stock
2016-06-07
4
P
0
17263
7.1698
A
2652237
D
Common Stock
1000000
I
See Footnote
Common Stock
1803574
I
See Footnote
These shares are held directly by ESW Capital, LLC ("ESW"). Joseph Liemandt is the sole voting member of ESW and may be deemed to have beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, of the shares held by ESW. Mr. Liemandt disclaims Section 16 beneficial ownership of the shares held by ESW, except to the extent, if any, of his pecuniary interest therein.
These shares are held directly by EPM Live, Inc., formerly known as Hipcricket, Inc. ("EMP Live"), a subsidiary and an affiliate of ESW. Each of Mr. Liemandt and ESW disclaims Section 16 beneficial ownership of the shares held by EPM Live, except to the extent, if any, of their respective pecuniary interest therein.
These shares are held directly by Acorn Performance Group, Inc. ("Acorn"), a controlled subsidiary of ESW. Each of Mr. Liemandt and ESW disclaims Section 16 beneficial ownership of the shares held by Acorn, except to the extent, if any, of their respective pecuniary interest therein.
/s/ Andrew Price, Chief Financial Officer of ESW Capital, LLC
2016-06-07
/s/ Andrew Price, Attorney-in-Fact for Mr. Joseph Liemandt
2016-06-07