AV Partners X, L.P. 4
4 · Upland Software, Inc. · Filed Nov 14, 2014
Insider Transaction Report
Form 4
AV Partners IX LLC
10% Owner
Transactions
- Conversion
Common Stock
2014-11-12+498,548→ 498,548 total(indirect: By Austin Ventures IX, L.P.) - Conversion
Common Stock
2014-11-12+80,500→ 834,572 total(indirect: By Austin Ventures IX, L.P.) - Conversion
Common Stock
2014-11-12+747,822→ 747,822 total(indirect: Austin Ventures X, L.P.) - Conversion
Common Stock
2014-11-12+383,286→ 1,131,108 total(indirect: Austin Ventures X, L.P.) - Purchase
Common Stock
2014-11-12$12.00/sh+57,692$692,304→ 1,309,550 total(indirect: Austin Ventures X, L.P.) - Conversion
Common Stock
2014-11-12+255,524→ 754,072 total(indirect: By Austin Ventures IX, L.P.) - Conversion
Series A Preferred Stock
2014-11-12−747,822→ 0 total(indirect: By Austin Ventures X, L.P.)→ Common Stock (747,822 underlying) - Conversion
Series B Preferred Stock
2014-11-12−255,524→ 0 total(indirect: By Austin Ventures IX, L.P.)→ Common Stock (255,524 underlying) - Conversion
Series B Preferred Stock
2014-11-12−383,286→ 0 total(indirect: By Austin Ventures X, L.P.)→ Common Stock (383,286 underlying) - Conversion
Series C Preferred Stock
2014-11-12−80,500→ 0 total(indirect: By Austin Ventures IX, L.P.)→ Common Stock (80,500 underlying) - Conversion
Series C Preferred Stock
2014-11-12−120,750→ 0 total(indirect: by Austin Ventures X, L.P.)→ Common Stock (120,750 underlying) - Conversion
Common Stock
2014-11-12+120,750→ 1,251,858 total(indirect: Austin Ventures X, L.P.) - Conversion
Series A Preferred Stock
2014-11-12−498,548→ 0 total(indirect: By Austin Ventures IX, L.P.)→ Common Stock (498,548 underlying) - Purchase
Common Stock
2014-11-12$12.00/sh+38,462$461,544→ 873,034 total(indirect: By Austin Ventures IX, L.P.)
Holdings
- 0
Common Stock
Footnotes (5)
- [F1]The Series A Preferred Stock, which was convertible at any time and had no expiration date, converted into Upland Software, Inc. common stock on a one-for-one basis.
- [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]The Series B Preferred Stock, which was convertible at any time and had no expiration date, converted into Upland Software, Inc. common stock on a one-for-one basis.
- [F4]The Series C Preferred Stock, which was convertible at any time and had no expiration date, converted into Upland Software, Inc. common stock on a one-for-one basis.
- [F5]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 AVP X LP, may each be deemed to have sole voting and dispositive powers over the 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.