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