0000899243-18-022804.txt : 20180820 0000899243-18-022804.hdr.sgml : 20180820 20180820162232 ACCESSION NUMBER: 0000899243-18-022804 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180816 FILED AS OF DATE: 20180820 DATE AS OF CHANGE: 20180820 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EPM Live, Inc. CENTRAL INDEX KEY: 0001137204 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] STATE OF INCORPORATION: DE FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36720 FILM NUMBER: 181028471 BUSINESS ADDRESS: STREET 1: 401 CONGRESS AVENUE STREET 2: SUITE 2650 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 5122018287 MAIL ADDRESS: STREET 1: 401 CONGRESS AVENUE STREET 2: SUITE 2650 CITY: AUSTIN STATE: TX ZIP: 78701 FORMER NAME: FORMER CONFORMED NAME: HIPCRICKET, INC. DATE OF NAME CHANGE: 20130826 FORMER NAME: FORMER CONFORMED NAME: Augme Technologies, Inc. DATE OF NAME CHANGE: 20100401 FORMER NAME: FORMER CONFORMED NAME: MODAVOX INC DATE OF NAME CHANGE: 20051018 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: 181028472 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 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: 181028473 MAIL ADDRESS: STREET 1: 5001 PLAZA ON THE LAKE CITY: AUSTIN STATE: TX ZIP: 78746 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-08-16 0 0001505155 Upland Software, Inc. UPLD 0001137204 EPM Live, Inc. 401 CONGRESS AVE., SUITE 2650 AUSTIN TX 78701 0 0 0 1 Member of 10% owner group 0001477025 ESW Capital, LLC 401 CONGRESS AVENUE, SUITE 2650 AUSTIN TX 78701 0 0 1 0 0001295389 LIEMANDT JOSEPH 401 CONGRESS AVENUE, SUITE 2650 AUSTIN TX 78701 0 0 1 0 Common Stock 2018-08-16 4 S 0 45377 35.4375 D 899522 D Common Stock 2018-08-16 4 S 0 25469 36.0296 D 874053 D Common Stock 2677627 I See Footnote Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $34.90 to $35.80. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. These shares are held directly by EPM Live, Inc. ("EPM"), a controlled subsidiary of ESW Capital, LLC ("ESW"). The sole voting member of ESW is Joseph A. Liemandt ("Mr. Liemandt"). Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any. Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $35.95 to $36.40. The Reporting Person undertakes to provide to the Issuer, the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. These shares include 1,803,574 shares directly held by Acorn Performance Group, Inc. ("Acorn") and the 874,053 shares directly held by EPM reported in footnote 2 above. Acorn and EPM are controlled subsidiaries of ESW. Each of ESW and Mr. Liemandt disclaim Section 16 beneficial ownership of the reported shares except to the extent of their respective pecuniary interest therein, if any. /s/ Andrew Price, Chief Financial Officer of EPM Live, Inc. 2018-08-20 /s/ Andrew Price, Chief Financial Officer of ESW Capital, LLC 2018-08-20 /s/ Joseph Liemandt 2018-08-20