3//SEC Filing
AV Partners IX LLC 3
Accession 0001209191-14-066818
CIK 0001505155other
Filed
Nov 4, 7:00 PM ET
Accepted
Nov 5, 7:14 PM ET
Size
27.0 KB
Accession
0001209191-14-066818
Insider Transaction Report
Form 3
AV Partners IX LP
10% Owner
Holdings
- 0
Common Stock
- (indirect: By Austin Ventures X, L.P.)
Series A Preferred Stock
→ Common Stock (747,822 underlying) - (indirect: By Austin Ventures X, L.P.)
Series B Preferred Stock
→ Common Stock (383,286 underlying) - (indirect: by Austin Ventures X, L.P.)
Series C Preferred Stock
→ Common Stock (120,750 underlying) - (indirect: By Austin Ventures IX, L.P.)
Series A Preferred Stock
→ Common Stock (498,548 underlying) - (indirect: By Austin Ventures IX, L.P.)
Series B Preferred Stock
→ Common Stock (255,524 underlying) - (indirect: By Austin Ventures IX, L.P.)
Series C Preferred Stock
→ Common Stock (80,500 underlying)
Austin Ventures IX LP
10% Owner
Holdings
- 0
Common Stock
- (indirect: By Austin Ventures IX, L.P.)
Series C Preferred Stock
→ Common Stock (80,500 underlying) - (indirect: by Austin Ventures X, L.P.)
Series C Preferred Stock
→ Common Stock (120,750 underlying) - (indirect: By Austin Ventures X, L.P.)
Series A Preferred Stock
→ Common Stock (747,822 underlying) - (indirect: By Austin Ventures IX, L.P.)
Series B Preferred Stock
→ Common Stock (255,524 underlying) - (indirect: By Austin Ventures X, L.P.)
Series B Preferred Stock
→ Common Stock (383,286 underlying) - (indirect: By Austin Ventures IX, L.P.)
Series A Preferred Stock
→ Common Stock (498,548 underlying)
AUSTIN VENTURES X LP
10% Owner
Holdings
- 0
Common Stock
- (indirect: By Austin Ventures X, L.P.)
Series B Preferred Stock
→ Common Stock (383,286 underlying) - (indirect: by Austin Ventures X, L.P.)
Series C Preferred Stock
→ Common Stock (120,750 underlying) - (indirect: By Austin Ventures X, L.P.)
Series A Preferred Stock
→ Common Stock (747,822 underlying) - (indirect: By Austin Ventures IX, L.P.)
Series C Preferred Stock
→ Common Stock (80,500 underlying) - (indirect: By Austin Ventures IX, L.P.)
Series A Preferred Stock
→ Common Stock (498,548 underlying) - (indirect: By Austin Ventures IX, L.P.)
Series B Preferred Stock
→ Common Stock (255,524 underlying)
AV Partners X, L.P.
10% Owner
Holdings
- (indirect: By Austin Ventures IX, L.P.)
Series C Preferred Stock
→ Common Stock (80,500 underlying) - 0
Common Stock
- (indirect: By Austin Ventures IX, L.P.)
Series A Preferred Stock
→ Common Stock (498,548 underlying) - (indirect: By Austin Ventures X, L.P.)
Series A Preferred Stock
→ Common Stock (747,822 underlying) - (indirect: By Austin Ventures IX, L.P.)
Series B Preferred Stock
→ Common Stock (255,524 underlying) - (indirect: By Austin Ventures X, L.P.)
Series B Preferred Stock
→ Common Stock (383,286 underlying) - (indirect: by Austin Ventures X, L.P.)
Series C Preferred Stock
→ Common Stock (120,750 underlying)
AV Partners IX LLC
10% Owner
Holdings
- (indirect: By Austin Ventures IX, L.P.)
Series A Preferred Stock
→ Common Stock (498,548 underlying) - (indirect: By Austin Ventures IX, L.P.)
Series B Preferred Stock
→ Common Stock (255,524 underlying) - (indirect: By Austin Ventures IX, L.P.)
Series C Preferred Stock
→ Common Stock (80,500 underlying) - (indirect: by Austin Ventures X, L.P.)
Series C Preferred Stock
→ Common Stock (120,750 underlying) - 0
Common Stock
- (indirect: By Austin Ventures X, L.P.)
Series A Preferred Stock
→ Common Stock (747,822 underlying) - (indirect: By Austin Ventures X, L.P.)
Series B Preferred Stock
→ Common Stock (383,286 underlying)
AV Partners X, L.L.C.
10% Owner
Holdings
- 0
Common Stock
- (indirect: By Austin Ventures IX, L.P.)
Series A Preferred Stock
→ Common Stock (498,548 underlying) - (indirect: By Austin Ventures X, L.P.)
Series A Preferred Stock
→ Common Stock (747,822 underlying) - (indirect: By Austin Ventures IX, L.P.)
Series C Preferred Stock
→ Common Stock (80,500 underlying) - (indirect: By Austin Ventures IX, L.P.)
Series B Preferred Stock
→ Common Stock (255,524 underlying) - (indirect: By Austin Ventures X, L.P.)
Series B Preferred Stock
→ Common Stock (383,286 underlying) - (indirect: by Austin Ventures X, L.P.)
Series C Preferred Stock
→ Common Stock (120,750 underlying)
Footnotes (5)
- [F1]The Series A Preferred Stock is convertible into Common Stock on a one-for-one basis at any time and has no expiration date. The Series A Preferred Stock will automatically convert into Common Stock immediately prior to the closing of the Issuer's initial public offering.
- [F2]Shares held directly by Austin Ventures IX, L.P. ("AV IX"). AV Partners IX, L.P. ("AVP IX LP"), the general partner of AV IX, and AV Partners IX, L.L.C. ("AVP IX LLC"), the general partner AVP IX LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV IX. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel and John D. Thornton are members of or are associated with AVP IX LLC and may be deemed to share voting and dispositive power over the shares held by AV IX. Such persons and entities disclaim beneficial ownership of shares held by AV IX, except to the extent of any pecuniary interest therein.
- [F3]Shares held directly by Austin Ventures X, L.P. ("AV X"). AV Partners X, L.P. ("AVP X LP"), the general partner of AV X, and AV Partners X, L.L.C. ("AVP X LLC"), the general partner of AVP X LP, may each be deemed to have sole voting and dispositive powers over shares held by AV X. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel and John D. Thornton are members of or are associated with AVP X LLC and may be deemed to share voting and dispositive power over the shares held by AV X. Such persons and entities disclaim beneficial ownership of shares held by AV X, except to the extent of any pecuniary interest therein.
- [F4]The Series B Preferred Stock is convertible into Common Stock on a one-for-one basis at any time and has no expiration date. The Series B Preferred Stock will automatically convert into Common Stock immediately prior to the closing of the Issuer's initial public offering.
- [F5]The Series C Preferred Stock is convertible into Common Stock on a one-for-one basis at any time and has no expiration date. The Series C Preferred Stock will automatically convert into Common Stock immediately prior to the closing of the Issuer's initial public offering.
Issuer
Upland Software, Inc.
CIK 0001505155
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001414047
Filing Metadata
- Form type
- 3
- Filed
- Nov 4, 7:00 PM ET
- Accepted
- Nov 5, 7:14 PM ET
- Size
- 27.0 KB