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Upland Software, Inc. — Director's Dealing 2019
Feb 13, 2019
34321_dirs_2019-02-13_d95e3d9f-d6ca-4d1a-a8a5-019c02d3c7e3.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: Upland Software, Inc. (UPLD)
CIK: 0001505155
Period of Report: 2018-12-31
Reporting Person: MAY DAVID (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 79585 | Direct |
| Common Stock | 0 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $7.74 | 2026-08-08 | Common Stock (19358.0) | 19358 | Direct |
| Stock Option (right to buy) | $23.6 | 2027-08-08 | Common Stock (3262.0) | 3262 | Direct |
| Stock Option (right to buy) | $33.39 | 2028-08-06 | Common Stock (2189.0) | 2189 | Direct |
Footnotes
F1: Total holdings updated reflect 44,568 shares transferred to reporting person's ex-spouse pursuant to divorce agreement, 25,000 shares that were reported sold on September 15, 2017 but not reflected is subsequent form totals and the transfer to Mr. May of 54,653 shares from a family-owned limited liability company upon dissolution of such entity.
F2: Fully vested and exercisable.
F3: Total updated to reflect 19,359 options transferred to reporting person's ex-spouse pursuant to divorce agreement.
F4: Total updated to reflect 3,263 options transferred to reporting person's ex-spouse pursuant to divorce agreement.
F5: Options vest and become exercisable as to 25% of shares on each of 9/16/19, 12/16/18, 3/16/19 and 6/16/19.
F6: Total updated to reflect 2,189 options transferred to reporting person's ex-spouse pursuant to divorce agreement.