0001209191-14-068901.txt : 20141114
0001209191-14-068901.hdr.sgml : 20141114
20141114171504
ACCESSION NUMBER: 0001209191-14-068901
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141112
FILED AS OF DATE: 20141114
DATE AS OF CHANGE: 20141114
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
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: 141225471
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: PACITTI CHRISTOPHER A
CENTRAL INDEX KEY: 0001278614
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36720
FILM NUMBER: 141225472
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: DEANGELIS KENNETH P
CENTRAL INDEX KEY: 0001250010
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36720
FILM NUMBER: 141225473
MAIL ADDRESS:
STREET 1: 300 WEST SIXTH ST STE 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: 141225474
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: 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: 141225475
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
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
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
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