Upland Software (UPLD) CEO Sean discloses 20,751 common shares in Form 3

Rhea-AI Filing Summary

Upland Software, Inc. executive Nathaniel Sean, the company’s CEO and President, filed an initial Form 3 showing his existing holdings. He reports beneficial ownership of 20,751 shares of Upland common stock held directly, establishing his baseline equity position as an officer.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Nathaniel Sean

Role CEO and President

Type	Security	Shares	Price	Value
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 20,751 shares (Direct, null)

Footnotes (1)

Key Figures

Common stock held: 20,751 shares

1 metrics

Common stock held 20,751 shares Beneficial ownership reported on Form 3

Key Terms

Form 3, beneficial ownership, Common Stock

3 terms

Form 3 regulatory

"filed an initial Form 3 showing his existing holdings"

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

beneficial ownership financial

"initial statement of beneficial ownership, simply listing the 20,751 common shares"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

Common Stock financial

"He reports beneficial ownership of 20,751 shares of Upland common stock"

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.

Understanding Insider Trading Forms →

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

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Nathaniel Sean

(Last) (First) (Middle)

900 S. CAPITAL OF TEXAS HWY

LAS CIMAS IV, SUITE 300

(Street)

AUSTIN TEXAS 78746

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
05/01/2026

3. Issuer Name and Ticker or Trading Symbol
Upland Software, Inc. [ UPLD ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CEO and President

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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	20,751	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

Explanation of Responses:

Remarks:

	/s/ Michael D. Hill (as attorney-in-fact for S. Nathaniel)	05/04/2026
	** 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.
* Form 3: SEC 1473 (03-26)

FAQ

What does Upland Software (UPLD) CEO Nathaniel Sean report in this Form 3?

He reports his existing beneficial ownership of Upland Software common stock. The filing shows Nathaniel Sean, CEO and President, directly holds 20,751 shares, establishing his baseline equity stake as an officer in the company.

Is the Upland Software (UPLD) Form 3 a buy or sell transaction?

This Form 3 is not a buy or sell transaction. It is an initial statement of beneficial ownership, simply listing the 20,751 common shares that CEO Nathaniel Sean already holds directly, rather than reporting new trades.

How many Upland Software (UPLD) shares does CEO Nathaniel Sean beneficially own?

He beneficially owns 20,751 shares of Upland Software common stock directly. This figure comes from the Form 3 filing and represents his reported equity position as CEO and President at the time of the report.

Does the Upland Software (UPLD) Form 3 show any option or derivative positions?

The filing shows no listed derivative securities or options. The derivativeSummary section is empty, indicating only common stock holdings of 20,751 shares are reported for CEO Nathaniel Sean in this particular Form 3.

What is the purpose of this Upland Software (UPLD) Form 3 filing?

The purpose is to disclose the initial beneficial ownership of company securities by an insider. Here, CEO and President Nathaniel Sean reports holding 20,751 common shares directly, giving investors visibility into his current equity stake.