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UPWORK, INC — Director's Dealing 2018
Oct 2, 2018
31644_dirs_2018-10-02_457033c0-7772-41b2-9b5b-c0e0deba2e63.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Upwork Inc. (UPWK)
CIK: 0001627475
Period of Report: 2018-10-02
Reporting Person: Globespan Management Associates IV, LLC (10% Owner)
Reporting Person: GLOBESPAN CAPITAL PARTNERS IV LP (10% Owner)
Reporting Person: Goldfarb Andrew P (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 20649 | Indirect |
| Common Stock | 1419 | Indirect |
| Common Stock | 1278 | Indirect |
| Common Stock | 562 | Indirect |
| Common Stock | 389 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A-1 Convertible Preferred Stock | $ | Common Stock (787890) | Indirect | ||
| Series A-1 Convertible Preferred Stock | $ | Common Stock (54167) | Indirect | ||
| Series A-1 Convertible Preferred Stock | $ | Common Stock (48789) | Indirect | ||
| Series A-1 Convertible Preferred Stock | $ | Common Stock (21467) | Indirect | ||
| Series A-1 Convertible Preferred Stock | $ | Common Stock (14866) | Indirect | ||
| Series A-2 Convertible Preferred Stock | $ | Common Stock (9800125) | Indirect | ||
| Series A-2 Convertible Preferred Stock | $ | Common Stock (673758) | Indirect | ||
| Series A-2 Convertible Preferred Stock | $ | Common Stock (606865) | Indirect | ||
| Series A-2 Convertible Preferred Stock | $ | Common Stock (267020) | Indirect | ||
| Series A-2 Convertible Preferred Stock | $ | Common Stock (184917) | Indirect | ||
| Series B-1 Convertible Preferred Stock | $ | Common Stock (77042) | Indirect | ||
| Series B-1 Convertible Preferred Stock | $ | Common Stock (3739) | Indirect | ||
| Series B-1 Convertible Preferred Stock | $ | Common Stock (3354) | Indirect | ||
| Series B-1 Convertible Preferred Stock | $ | Common Stock (2027) | Indirect | ||
| Series B-1 Convertible Preferred Stock | $ | Common Stock (1404) | Indirect |
Footnotes
F1: Held directly by Globespan Capital Partners IV, L.P.
F2: Held directly by Globespan Capital Partners (Cayman) IV, L.P.
F3: Held directly by JAFCO Globespan USIT IV, L.P.
F4: Held directly by Globespan Capital Partners IV GmbH & Co. KG
F5: Held directly by GCP IV Affiliates Fund, L.P.
F6: The filing of this Form 3 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest.
F7: The preferred stock automatically converts into common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.