SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 11/23/2015 | 3. Issuer Name and Ticker or Trading Symbol Upland Software, Inc. [ UPLD ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock(1)(2)(4)(6) | 1,351,159 | D | |
Common Stock(1)(3)(5)(6) | 192,708 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
|
Explanation of Responses: |
1. On November 25, 2015, Kleinheinz Capital Partners, Inc. ("Kleinheinz Capital"), MJBW Investments, LP ("MJBW"), MJBW Genpar, LLC ("Genpar"), Global Undervalued Securities Master Fund, L.P. ("Global Master"), and John B. Kleinheinz ("Mr. Kleinheinz") made a joint filing under Section 13(d) of the Securities Exchange Act of 1934, as amended, relating to the common stock of Upland Software, Inc. (the "Common Stock"). |
2. Represents shares of Common Stock directly beneficially owned by Global Master. |
3. Represents shares of Common Stock directly beneficially owned by MJBW. |
4. Kleinheinz Capital is the general partner of Global Master and indirectly benefically owns the shares of Common Stock owned by Global Master. |
5. Genpar is the general partner of MJBW and indirectly benefically owns the shares of Common Stock owned by MJBW. |
6. Mr. Kleinheinz is the sole director and President of Kleinheinz Capital and is the sole member and President of Genpar and indirectly beneficially owns the shares of Common Stock owned by Global Master and MJBW. Mr. Kleinheinz, Kleinheinz Capital and Genpar disclaim any beneficial ownership of shares of Common Stock, except to the extent of any pecuniary interest therein. |
Remarks: |
/s/ John B. Kleinheinz, President of Kleinheinz Capital Partners, Inc., general partner of Global Undervalued Securities Master Fund, L.P. | 12/03/2015 | |
/s/ John B. Kleinheinz, President of Kleinheinz Capital Partners, Inc. | 12/03/2015 | |
/s/ John B. Kleinheinz, President of MJBW Genpar, LLC, general partner of MJBW Investments, LP | 12/03/2015 | |
/s/ John B. Kleinheinz, President of MJBW Genpar, LLC | 12/03/2015 | |
/s/ John B. Kleinheinz | 12/03/2015 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |