[144] Upland Software, Inc. SEC Filing

Rhea-AI Filing Summary

Upland Software, Inc. (UPLD) Form 144 summary: This notice reports a proposed Rule 144 sale of 15,000 common shares through Fidelity Brokerage Services LLC on 09/10/2025 on NASDAQ, with an aggregate market value listed as $34,650.00. The filer shows 28,766,498 shares outstanding for the class. The shares to be sold were acquired as a stock award from the issuer on 03/15/2021, with an acquired amount of 15,456 shares and payment dated 03/15/2021. The filing indicates no securities sold in the past three months and includes the standard representation that the seller is unaware of undisclosed material adverse information.

Insights

Securities Analyst

TL;DR: A small, routine insider sale is being notified; limited investor impact is apparent from the filing.

The filing discloses a proposed sale of 15,000 common shares valued at $34,650, representing a very small fraction of the stated 28,766,498 shares outstanding. The shares were acquired as a stock award on 03/15/2021 and no other sales in the prior three months are reported. From a securities-transaction perspective, this is a routine Rule 144 notice required for certain dispositions by insiders or affiliates. The document contains no operational, financial performance, or governance details that would change an investment thesis.

Corporate Governance Specialist

TL;DR: Compliance-focused disclosure of an insider award sale; no governance red flags shown in the notice.

The form provides standard attestations about the absence of undisclosed material information and notes the use of a broker (Fidelity). The origin of the shares as an issuer stock award and the lack of recent sales in the prior three months align with routine compliance and reporting practice. Because the filing contains no additional context on motivations, trading plans, or related-party arrangements, it does not indicate governance concerns based on the disclosed facts alone.

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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	Fidelity Brokerage Services LLC 245 Summer Street Boston MA 02110	15000	34650.00	28766498	09/10/2025	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	03/15/2021	stock award	Issuer			15456	03/15/2021	N/A

* 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

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the UPLD Form 144 report?

The filing reports a proposed sale of 15,000 common shares of Upland Software through Fidelity on 09/10/2025, with aggregate market value $34,650.00.

How many UPLD shares were outstanding according to the filing?

The filing lists 28,766,498 shares outstanding for the class of common stock.

When and how were the shares being sold originally acquired?

The shares were acquired as a stock award from the issuer on 03/15/2021, with an acquired amount shown as 15,456 shares.

Did the filer report any sales of UPLD securities in the past three months?

No. The filing states Nothing to Report for securities sold during the past three months.

Which broker is named for the proposed sale in the UPLD Form 144?

The broker listed is Fidelity Brokerage Services LLC with an address at 245 Summer Street, Boston, MA.