0001094792-24-000006.txt : 20240311 0001094792-24-000006.hdr.sgml : 20240311 20240311171543 ACCESSION NUMBER: 0001094792-24-000006 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240129 FILED AS OF DATE: 20240311 DATE AS OF CHANGE: 20240311 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCDONALD JOHN T CENTRAL INDEX KEY: 0001094792 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36720 FILM NUMBER: 24739113 MAIL ADDRESS: STREET 1: C/O UPLAND SOFTWARE INC. STREET 2: 401 CONGRESS AVE., SUITE 1850 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] ORGANIZATION NAME: 06 Technology 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/A 1 wk-form4a_1710191726.xml FORM 4/A X0508 4/A 2024-01-29 2024-01-31 0 0001505155 Upland Software, Inc. UPLD 0001094792 MCDONALD JOHN T 401 CONGRESS AVE., STE 1850 AUSTIN TX 78701 1 1 0 0 CEO 0 Common Stock 2024-01-29 2024-01-29 4 A 0 250000 0 A 1881748 D Common Stock 263738 I By National Financial Services as Cust FBO J. McDonald RRA Performance Share Unit 0 2024-01-29 2024-01-29 4 A 0 250000 0 A 2027-02-28 Common Stock 250000 250000 D The RSUs vest in twelve equal quarterly installments starting on the three month anniversary of the Vesting Commencement Date of December 16, 2023 provided that, except as otherwise provided in the Executive Employment Agreement between the Company and Participant, the Participant continues to be a Service Provider through each such vesting date. Does not include 125,000 shares of common stock held in a trust for the benefit of Mr. McDonald's children of which The Bryn Mawr Trust Company of Delaware is the trustee. 0% to 300% of these PSUs may vest based on the achievement of the Company's TSR goals for any 30 consecutive trading days immediately preceding any such date during the period beginning on February 28, 2024 and ending on February 28, 2027- the Performance Period. The percentage of PSUs that may vest will be a- 0% if TSR is below 5% b- 50% if TSR is 5% c- 100% if TSR is 10% and d- 300% if TSR is 20% or greater. The percentage of PSUs that may vest is determined using linear interpolation. The PSUs earned shall be limited to the number of shares available for issuance under the 2014 Equity Incentive Plan on the applicable vesting date. If the Company's stockholders approve an equity incentive plan at the 2024 annual meeting and pursuant to such plan, the Reporting Person is granted an award of PSUs prior to the end of the Performance Period, the PSUs earned pursuant to the vesting schedule shall be limited to 250,000 PSUs. On January 31, 2024, the Reporting Person filed a Form 4 which inadvertently reported that the Performance Period ended on August 28, 2025. Footnote 3 above and column 6 above have been amended to reflect that the Performance Period ends on February 28, 2027. /s/ Matthew Smith (as attorney-in-fact for J. McDonald) 2024-03-11