Form Type: 4

SEC EDGAR Link
Accession Number:0001289889-21-000014
Date:2021-09-16
Issuer: UPLAND SOFTWARE, INC. (UPLD)
Original Submission Date:

Reporting Person:

HILL MICHAEL DOUGLASS
401 CONGRESS AVE., SUITE 1850
AUSTIN, TX 78701

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-09-16 G 34,689 d $0.00 224,157 direct
COMMON STOCK 2021-09-17 S 7,111 d $36.62 217,046 direct
COMMON STOCK 2021-09-20 S 87 d $35.87 216,959 direct
COMMON STOCK 2021-09-16 G 34,689 a $0.00 34,689 indirect f3
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 shares were sold pursuant to a 10b5-1 plan to cover the tax withholding obligations in connection with the vesting of restricted stock units.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $36.20 to $36.97, inclusive. the reporting person undertakes to provide to upland software, inc., any security holder of upland software, inc., or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this form 4.
f3 share held by trust for the benefit of reporting person's family. reporting person is the trustee of the trust.

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