UPLD insider plans Rule 144 stock sale

Timothy Mattox filed a notice to sell common stock of UPLD under Rule 144.

Rhea-AI Filing Summary

Timothy Mattox filed a notice to sell common stock of UPLD under Rule 144. The planned transaction lists 1,000 common shares to be sold through Morgan Stanley Smith Barney LLC Executive Financial Services on August 4, 2026, with the security quoted on NASDAQ. The shares derive from restricted stock originally acquired from the issuer on December 16, 2018.

Over the prior three months, Mattox reported two sales of UPLD common stock: 1,000 shares on July 31, 2026 at a price of 4450.00, and 1,000 shares on August 3, 2026 at a price of 4480.00.

Key Figures

Planned shares to be sold: 1,000 shares Planned sale trade date: 08/04/2026 Restricted stock grant date: 12/16/2018 +2 more

5 metrics

Planned shares to be sold 1,000 shares Common stock to be sold through Morgan Stanley Smith Barney LLC Executive Financial Services

Planned sale trade date 08/04/2026 Proposed sale date for 1,000 common shares under Rule 144

Restricted stock grant date 12/16/2018 Original acquisition date of the restricted stock underlying the planned sale

Recent sale 1 1,000 shares at 4480.00 Sale of common stock on 07/31/2026

Recent sale 2 1,000 shares at 4450.00 Sale of common stock on 08/03/2026

Key Terms

Rule 144, restricted stock, common stock, NASDQ

4 terms

Rule 144 regulatory

"filed a notice to sell common stock of UPLD under Rule 144"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

restricted stock financial

"The shares derive from restricted stock originally acquired from the issuer"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

common stock financial

"planned transaction lists 1,000 common shares to be sold"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

NASDQ market

"The shares derive from restricted stock ... with the security quoted on NASDAQ"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What stock sale is Timothy Mattox planning for UPLD in this Form 144?

Timothy Mattox plans to sell 1,000 shares of UPLD common stock through Morgan Stanley Smith Barney LLC Executive Financial Services on August 4, 2026, as disclosed in the Rule 144 notice.

How many UPLD shares did Timothy Mattox sell recently according to this Form 144?

The filing lists two recent UPLD sales by Timothy Mattox: 1,000 shares on July 31, 2026 at 4480.00 and 1,000 shares on August 3, 2026 at 4450.00.

What is the origin of the UPLD shares covered by Timothy Mattox’s planned sale?

The 1,000 shares covered by the planned sale come from restricted stock originally acquired from the issuer on December 16, 2018, as specified in the securities-to-be-sold section.

Which broker is handling Timothy Mattox’s planned UPLD stock sale?

The planned sale of 1,000 UPLD common shares will be handled by Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, 8th Floor, New York, NY 10004.

On which exchange are Timothy Mattox’s UPLD shares listed for the planned Rule 144 sale?

The common stock covered by Timothy Mattox’s planned sale is identified as trading on NASDAQ, according to the securities information section of the Rule 144 notice.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/04/2026 - 04:21 PM Accepted by SEC EDGAR 08/04/2026 - 04:21 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001624067
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	UPLAND SOFTWARE, INC.
SEC File Number	001-36720
Address of Issuer	900 S. Capital of Texas Highway, Las Cim as IV, Suite 300 Austin TEXAS 78746
Phone	(512) 960-1010
Name of Person for Whose Account the Securities are To Be Sold	TIMOTHY WILLIAM MATTOX
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Director

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	1000	4330.00	2936320	08/04/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	12/16/2018	Restricted Stock	Issuer			1000	12/16/2018	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
TIMOTHY WILLIAM MATTOX 900 S. Capital of Texas Highway, Las Cim as IV, Suite 300 Austin TX 78746	Common	08/03/2026	1000	4450.00
TIMOTHY WILLIAM MATTOX 900 S. Capital of Texas Highway, Las Cim as IV, Suite 300 Austin TX 78746	Common	07/31/2026	1000	4480.00

144: Remarks and Signature

Remarks
Date of Notice	08/04/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	03/09/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Timothy William Mattox
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)