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Upland Software (UPLD) director Mattox sells 847 shares under 10b5-1 plan

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Upland Software, Inc. director Timothy Mattox reported selling 847.4 shares of common stock on 2026-08-07 in an open market or private transaction at a weighted average price of $4.2801 per share. The sale was made under an approved Rule 10b5-1 trading plan adopted on 03/09/2026, and his directly held stake after the sale was 36,052.6 shares.

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Insider Mattox Timothy
Role Director
Sold 847.4 shs ($4K)
Type Security Shares Price Value
Sale Common Stock F1, F2 847.4 $4.2801 $4K
Holdings After Transaction: Common Stock — 36,052.6 shares (Direct)
Footnotes (2)
  1. F1. The transaction indicated was conducted under an approved 10b5-1 Plan, adoption date of referenced 10b5-1 Plan is: 03/09/2026.
  2. F2. This transaction was executed in multiple trades at prices ranging from $4.28 to $4.495. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
Shares sold 847.4 shares Common stock sale on 2026-08-07 by director Timothy Mattox
Weighted average sale price $4.2801 per share Open market or private sale executed in multiple trades
Post-transaction holdings 36,052.6 shares Direct ownership of Upland Software common stock after the sale
Price range of trades $4.28 to $4.495 per share Footnote describing execution range for the multiple sale trades
10b5-1 plan adoption date 03/09/2026 Adoption date of the Rule 10b5-1 trading plan governing the sale
Rule 10b5-1 Plan regulatory
"The transaction indicated was conducted under an approved 10b5-1 Plan"
A Rule 10b5-1 plan is a prearranged, written schedule that lets corporate insiders buy or sell company stock at set times or amounts, even if they later learn material nonpublic information. Think of it like setting an automatic thermostat for trades: it creates a clear record that trades were planned in advance, reducing the risk of insider-trading accusations and helping investors trust that insider transactions are routine rather than based on secret information.
weighted average sale price financial
"The price reported above reflects the weighted average sale price"
open market or private transaction financial
"transaction_code_description: Sale in open market or private transaction"

FAQ

What insider transaction did UPLD director Timothy Mattox report?
Director Timothy Mattox reported selling 847.4 shares of Upland Software, Inc. common stock on 2026-08-07. The sale was reported as an open market or private transaction at a weighted average price of $4.2801 per share.

Was the UPLD insider sale by Timothy Mattox under a Rule 10b5-1 plan?
Yes. The filing states the sale was conducted under an approved Rule 10b5-1 Plan adopted on 03/09/2026. Such plans pre-arrange trades, reducing the informational value of transaction timing for investors.

How many UPLD shares does Timothy Mattox hold after this reported sale?
After the reported sale, director Timothy Mattox directly held 36,052.6 shares of Upland Software, Inc. common stock. This figure reflects his direct ownership position immediately following the 2026-08-07 transaction.

What price range were the UPLD shares sold for in the Mattox Form 4?
The sale was executed in multiple trades at prices ranging from $4.28 to $4.495 per share. The reported $4.2801 figure represents the weighted average sale price across these trades, according to the filing footnote.

How many UPLD shares did Timothy Mattox sell in this Form 4 filing?
Director Timothy Mattox sold 847.4 shares of Upland Software, Inc. common stock. The transaction was coded as a “S” sale, indicating an open market or private sale of non-derivative common stock.

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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Mattox Timothy
(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. Issuer Name and Ticker or Trading Symbol
Upland Software, Inc. [ UPLD ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/07/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock08/07/2026S(1)847.4D$4.2801(2)36,052.6D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. The transaction indicated was conducted under an approved 10b5-1 Plan, adoption date of referenced 10b5-1 Plan is: 03/09/2026.
2. This transaction was executed in multiple trades at prices ranging from $4.28 to $4.495. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
Remarks:
Melanie Marshall (as attorney-in-fact for T. Mattox)08/11/2026
** Signature of Reporting PersonDate
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 4 (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 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR