Accession Number: | 0001062993-14-007207 |
Date: | 2014-12-17 |
Issuer: | UPLAND SOFTWARE, INC. (UPLD) |
Original Submission Date: |
ESW CAPITAL, LLC
401 CONGRESS AVE., SUITE 2650
AUSTIN, TX 78701
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2014-12-17 | P | 26,189 | a | $8.98 | 987,660 f1 | direct | ||
COMMON STOCK | 2014-12-18 | P | 5,562 | a | $9.00 | 993,222 f1 | direct | ||
COMMON STOCK | 2014-12-17 | 0 | $0.00 | 1,803,574 | indirect | f2 |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
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ID | footnote |
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f1 | these shares are held directly by esw capital, llc ("esw"). joe liemandt is the sole member of esw and may be deemed to have beneficial ownership, for purposes of section 13(d) of the securities exchange act of 1934, of the shares held by esw. mr. liemandt disclaims section 16 beneficial ownership of the shares held by esw, except to the extent, if any, of his pecuniary interest therein. |
f2 | these shares are held directly by acorn performance group, inc. ("acorn"), a wholly-owned subsidiary of esw. each of mr. liemandt and esw disclaims section 16 beneficial ownership of the shares held by acorn, except to the extent, if any, of their respective pecuniary interest therein. |