0001213900-22-051124.txt : 20220825
0001213900-22-051124.hdr.sgml : 20220825
20220825162033
ACCESSION NUMBER: 0001213900-22-051124
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220823
FILED AS OF DATE: 20220825
DATE AS OF CHANGE: 20220825
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Chung David H S
CENTRAL INDEX KEY: 0001576150
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36720
FILM NUMBER: 221197637
MAIL ADDRESS:
STREET 1: 10900 NE 8TH STREET, SUITE 800
CITY: BELLEVUE
STATE: WA
ZIP: 98004
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ULYSSES AGGREGATOR, LP
CENTRAL INDEX KEY: 0001943841
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36720
FILM NUMBER: 221197639
BUSINESS ADDRESS:
STREET 1: 1950 UNIVERSITY AVENUE, SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94303
BUSINESS PHONE: 650-321-4910
MAIL ADDRESS:
STREET 1: 1950 UNIVERSITY AVENUE, SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94303
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HGGC FUND IV GP, LTD.
CENTRAL INDEX KEY: 0001943824
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36720
FILM NUMBER: 221197638
BUSINESS ADDRESS:
STREET 1: 1950 UNIVERSITY AVENUE, SUITE #%)
CITY: PALO ALTO
STATE: CA
ZIP: 94303
BUSINESS PHONE: 650-321-4910
MAIL ADDRESS:
STREET 1: 1950 UNIVERSITY AVENUE, SUITE #%)
CITY: PALO ALTO
STATE: CA
ZIP: 94303
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
3
1
ownership.xml
X0206
3
2022-08-23
0
0001505155
Upland Software, Inc.
UPLD
0001943841
ULYSSES AGGREGATOR, LP
1950 UNIVERSITY AVENUE, SUITE 350
PALO ALTO
CA
94303
0
0
1
0
0001943824
HGGC FUND IV GP, LTD.
1950 UNIVERSITY AVENUE, SUITE 350
PALO ALTO
CA
94303
0
0
1
0
0001576150
Chung David H S
1950 UNIVERSITY AVENUE, SUITE 350
PALO ALTO
CA
94303
1
0
0
0
Common Stock
251727
I
See footnote
Series A Convertible Preferred Stock
17.50
Common Stock
6571428
D
These securities are held of record by Bloom Acquisitions 1, LP, an affiliate of Ulysses Aggregator, LP.
On August 23, 2022, Ulysses Aggregator, LP completed its acquisition of 115,000 shares of Series A Convertible Preferred Stock (the "Series A Preferred Stock") of the Issuer. The Series A Preferred Stock become convertible into shares common stock of the Issuer, par value $0.0001 per share ("Common Stock"), at a conversion price equal to $17.50 per share subject to certain customary adjustments in the event of certain events affecting the price of the Common Stock.
Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
David Chung, a member of the board of directors of the Issuer, was elected as representative of Ulysses Aggregator, LP. As a result, this entity may be deemed a director by deputization for Section 16 purposes.
Ulysses Aggregator, LP; By: Ulysses Aggregator GP, LLC, its general partner; By: /s/ David Chung, President
2022-08-25
HGGC Fund IV GP, Ltd.; By: /s/ Kurt A. Krieger, Secretary
2022-08-25
/s/ David Chung
2022-08-25