Upland Software, Inc. 4
4 · Upland Software, Inc. · Filed Nov 14, 2014
Insider Transaction Report
Form 4
Sarracino Steven
Director
Transactions
- Conversion
Common Stock
2014-11-12+337,031→ 337,031 total(indirect: By Activant Holdings I, LP) - Conversion
Common Stock
2014-11-12+115,000→ 115,000 total(indirect: By LLC) - Conversion
Common Stock
2014-11-12+277,823→ 277,823 total(indirect: By Activant Holdings II, LP) - Conversion
Series C Preferred Stock
2014-11-12−115,000→ 0 total(indirect: By LLC)→ Common Stock (115,000 underlying) - Conversion
Series C Preferred Stock
2014-11-12−337,031→ 0 total(indirect: By Activant Holdings I, LP)→ Common Stock (337,031 underlying) - Conversion
Series C Preferred Stock
2014-11-12−277,823→ 0 total(indirect: By Activant Holdings II, LP)→ Common Stock (277,823 underlying)
Holdings
- 10,416
Common Stock
Footnotes (3)
- [F1]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.
- [F2]The reporting person is the sole member and sole manager of the limited liability company that owns the reported securities.
- [F3]The reporting person is the sole member and sole manager of Activant Capital Group LLC, the general partner of the limited partnership that owns the reported securities. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.