0001209191-14-068904.txt : 20141114 0001209191-14-068904.hdr.sgml : 20141114 20141114171556 ACCESSION NUMBER: 0001209191-14-068904 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141112 FILED AS OF DATE: 20141114 DATE AS OF CHANGE: 20141114 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AV Partners X, L.P. CENTRAL INDEX KEY: 0001522197 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36720 FILM NUMBER: 141225488 BUSINESS ADDRESS: STREET 1: 300 W. 6TH STREET STREET 2: SUITE 2300 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 512-485-1900 MAIL ADDRESS: STREET 1: 300 W. 6TH STREET STREET 2: SUITE 2300 CITY: AUSTIN STATE: TX ZIP: 78701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AV Partners X, L.L.C. CENTRAL INDEX KEY: 0001522196 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36720 FILM NUMBER: 141225489 BUSINESS ADDRESS: STREET 1: 300 W. 6TH STREET STREET 2: SUITE 2300 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 512-485-1900 MAIL ADDRESS: STREET 1: 300 W. 6TH STREET STREET 2: SUITE 2300 CITY: AUSTIN STATE: TX ZIP: 78701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AV Partners IX LP CENTRAL INDEX KEY: 0001414046 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36720 FILM NUMBER: 141225490 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AUSTIN VENTURES X LP CENTRAL INDEX KEY: 0001447073 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36720 FILM NUMBER: 141225491 BUSINESS ADDRESS: STREET 1: 300 WEST 6TH STREET STREET 2: SUITE 2300 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 512-485-1900 MAIL ADDRESS: STREET 1: 300 WEST 6TH STREET STREET 2: SUITE 2300 CITY: AUSTIN STATE: TX ZIP: 78701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Austin Ventures IX LP CENTRAL INDEX KEY: 0001414045 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36720 FILM NUMBER: 141225492 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 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: 141225493 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: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 401 CONGRESS AVE. STREET 2: SUITE 1850 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 855-944-7526 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 2014-11-12 0 0001505155 Upland Software, Inc. UPLD 0001414047 AV Partners IX LLC 300 W. SIXTH STREET, STE. 2300 AUSTIN TX 78701 0 0 1 0 0001414045 Austin Ventures IX LP 300 W. SIXTH STREET, STE. 2300 AUSTIN TX 78701 0 0 1 0 0001447073 AUSTIN VENTURES X LP 300 W. SIXTH STREET, STE. 2300 AUSTIN TX 78701 0 0 1 0 0001414046 AV Partners IX LP 300 W. SIXTH STREET, STE. 2300 AUSTIN TX 78701 0 0 1 0 0001522196 AV Partners X, L.L.C. 300 W. SIXTH STREET, STE. 2300 AUSTIN TX 78701 0 0 1 0 0001522197 AV Partners X, L.P. 300 W. SIXTH STREET, STE. 2300 AUSTIN TX 78701 0 0 1 0 Common Stock 0 D Common Stock 2014-11-12 4 C 0 498548 0.00 A 498548 I By Austin Ventures IX, L.P. Common Stock 2014-11-12 4 C 0 255524 0.00 A 754072 I By Austin Ventures IX, L.P. Common Stock 2014-11-12 4 C 0 80500 0.00 A 834572 I By Austin Ventures IX, L.P. Common Stock 2014-11-12 4 P 0 38462 12.00 A 873034 I By Austin Ventures IX, L.P. Common Stock 2014-11-12 4 C 0 747822 0.00 A 747822 I Austin Ventures X, L.P. Common Stock 2014-11-12 4 C 0 383286 0.00 A 1131108 I Austin Ventures X, L.P. Common Stock 2014-11-12 4 C 0 120750 0.00 A 1251858 I Austin Ventures X, L.P. Common Stock 2014-11-12 4 P 0 57692 12.00 A 1309550 I Austin Ventures X, L.P. Series A Preferred Stock 2014-11-12 4 C 0 498548 0.00 D Common Stock 498548 0 I By Austin Ventures IX, L.P. Series A Preferred Stock 2014-11-12 4 C 0 747822 0.00 D Common Stock 747822 0 I By Austin Ventures X, L.P. Series B Preferred Stock 2014-11-12 4 C 0 255524 0.00 D Common Stock 255524 0 I By Austin Ventures IX, L.P. Series B Preferred Stock 2014-11-12 4 C 0 383286 0.00 D Common Stock 383286 0 I By Austin Ventures X, L.P. Series C Preferred Stock 2014-11-12 4 C 0 80500 0.00 D Common Stock 80500 0 I By Austin Ventures IX, L.P. Series C Preferred Stock 2014-11-12 4 C 0 120750 0.00 D Common Stock 120750 0 I by Austin Ventures X, L.P. The Series A Preferred Stock, which was convertible at any time and had no expiration date, converted into Upland Software, Inc. common stock on a one-for-one basis. Shares held directly by Austin Ventures IX, L.P. ("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. The Series B Preferred Stock, which was convertible at any time and had no expiration date, converted into Upland Software, Inc. common stock on a one-for-one basis. The Series C Preferred Stock, which was convertible at any time and had no expiration date, converted into Upland Software, Inc. common stock on a one-for-one basis. Shares held directly by Austin Ventures X, L.P. ("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/ Robert Housley, Attorney-in-Fact 2014-11-14 /s/ Robert Housley, Attorney-in-Fact 2014-11-14 /s/ Robert Housley, Attorney-in-Fact 2014-11-14 /s/ Robert Housley, Attorney-in-Fact 2014-11-14 /s/ Robert Housley, Attorney-in-Fact 2014-11-14 /s/ Robert Housley, Attorney-in-Fact 2014-11-14