0001567619-18-003818.txt : 20181005 0001567619-18-003818.hdr.sgml : 20181005 20181005200135 ACCESSION NUMBER: 0001567619-18-003818 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181003 FILED AS OF DATE: 20181005 DATE AS OF CHANGE: 20181005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRETSCH GREGORY C. CENTRAL INDEX KEY: 0001517236 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38678 FILM NUMBER: 181111682 MAIL ADDRESS: STREET 1: C/O RESPONSYS, INC. STREET 2: 900 CHERRY AVENUE, 5TH FLOOR CITY: SAN BRUNO STATE: CA ZIP: 94066 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Upwork Inc. CENTRAL INDEX KEY: 0001627475 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 464337682 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 441 LOGUE AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 BUSINESS PHONE: 650-316-7500 MAIL ADDRESS: STREET 1: 441 LOGUE AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 FORMER COMPANY: FORMER CONFORMED NAME: Elance-oDesk, Inc. DATE OF NAME CHANGE: 20141209 4 1 doc1.xml FORM 4 X0306 4 2018-10-03 0 0001627475 Upwork Inc. UPWK 0001517236 GRETSCH GREGORY C. C/O UPWORK INC. 441 LOGUE AVENUE MOUNTAIN VIEW CA 94043 1 0 1 0 Common Stock 2018-10-03 4 A 0 1750 0 A 1750 D Common Stock 2018-10-03 4 A 0 7500 0 A 9250 D Common Stock 37026 I Held directly by Sigma Associates 6, L.P. Common Stock 6738 I Held directly by Sigma Investors 6, L.P. Common Stock 486967 I Held directly by Sigma Partners 6, L.P. Common Stock 266667 I Held directly by Martis Creek Investments, L.P. - Fund 3 Common Stock 95000 I Held directly by Martis Creek Investments, L.P. - Fund 4 Common Stock 1430 I Held directly by Martis Creek Investments, L.P. - Fund 5 Represents an award of restricted stock units ("RSUs"). The RSUs vest quarterly, over three quarters (with the first such vesting date occurring on December 31, 2018), subject to the continuing service of the Reporting Person on each vesting date. The final quarterly installment shall fully vest on the earlier of (a) the date of the first annual meeting of the Issuer's stockholders and (b) the date that is the last day of the last full quarter of the vesting of such award, in each case subject to the continuing service of the Reporting Person through such date. Represents an award of RSUs. The RSUs vest on the earlier of (a) the date of the first annual meeting of the Issuer's stockholders and (b) July 3, 2019, in each case subject to the continuing service of the Reporting Person through such date. Sigma Management 6, L.L.C. is the general partner of each of Sigma Associates 6, L.P., Sigma Investors 6, L.P., and Sigma Partners 6, L.P., (collectively, the "Sigma Entities"). Robert E. Davoli, Clifford Haas, Lawrence G. Finch, Gregory C. Gretsch (the Reporting Person and a member of the Issuer's board of directors), John Mandile, Peter Solvik, Robert Spinner, and Wade Woodson are the managing members of Sigma Management 6, L.L.C. and share voting and investment power with respect to the shares held by the Sigma Entities. The Gretsch Revocable Trust is the general partner of each of Martis Creek Investments, L.P. - Fund 3, Martis Creek Investments, L.P. - Fund 4, and Martis Creek Investments, L.P. - Fund 5 (collectively, the "Martis Creek entities") and has sole voting and dispositive power over the shares held by the Martis Creek entities, and the voting decisions with respect to such shares are made by Gregory Gretsch, the Reporting Person. /s/ Gregory C. Gretsch 2018-10-05