Upland Software (UPLD) director Mattox sells 2,000 shares under plan

Rhea-AI Filing Summary

Upland Software, Inc. director Timothy Mattox reported two sales of company common stock totaling 2,000 shares. He sold 1,000 shares at $4.33 on 2026-08-04 and 1,000 shares at $4.53 on 2026-08-05. Both transactions were conducted under an approved 10b5-1 Plan adopted on 03/09/2026.

Insider Trade Summary 10b5-1

Net Seller: 2,000 shares

Net Sell 2 txns

Insider Mattox Timothy

Role Director

Sold 2,000 shs ($9K)

Type	Security	Shares	Price	Value
Sale	Common Stock F1	1,000	$4.53	$5K
Sale	Common Stock F1	1,000	$4.33	$4K

Holdings After Transaction: Common Stock — 37,900 shares (Direct)

Footnotes (1)

1. F1. The transaction indicated was conducted under an approved 10b5-1 Plan, adoption date of referenced 10b5-1 Plan is: 03/09/2026.

Key Figures

Shares sold 2026-08-04: 1,000 shares Shares sold 2026-08-05: 1,000 shares Total shares sold: 2,000 shares +3 more

6 metrics

Shares sold 2026-08-04 1,000 shares Common Stock sale at $4.33 per share on 2026-08-04

Shares sold 2026-08-05 1,000 shares Common Stock sale at $4.53 per share on 2026-08-05

Total shares sold 2,000 shares Aggregate Common Stock sold across reported transactions

Sale price 2026-08-04 $4.33 per share Price for 1,000-share Common Stock sale on 2026-08-04

Sale price 2026-08-05 $4.53 per share Price for 1,000-share Common Stock sale on 2026-08-05

10b5-1 plan adoption date 03/09/2026 Adoption date of the referenced 10b5-1 Plan governing the sales

Key Terms

10b5-1 Plan, open market or private transaction, acquired_disposed_code

3 terms

10b5-1 Plan regulatory

"The transaction indicated was conducted under an approved 10b5-1 Plan, adoption date of referenced 10b5-1 Plan"

A 10b5-1 plan is a pre-arranged strategy that allows company insiders to buy or sell their shares at predetermined times and prices, even while they are aware of confidential information. It acts like a scheduled appointment for trading, helping ensure transactions happen transparently and legally, which can reassure investors that trades are not based on insider knowledge.

open market or private transaction financial

"transaction_code_description: Sale in open market or private transaction"

acquired_disposed_code regulatory

"Field acquired_disposed_code D appears in each transaction record"

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

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 08/06/2026 - 04:55 PM Accepted by SEC EDGAR 08/06/2026 - 04:55 PM Learn about SEC filing dates

FAQ

What insider stock sales did UPLD director Timothy Mattox report?

Timothy Mattox reported selling 2,000 shares of Upland Software common stock, with 1,000 shares sold at $4.33 on 2026-08-04 and 1,000 shares sold at $4.53 on 2026-08-05 under a 10b5-1 plan.

How many Upland Software (UPLD) shares did Mattox sell in total?

Across the reported transactions, Mattox sold a total of 2,000 shares of Upland Software common stock. This consists of two separate 1,000-share sales executed on 2026-08-04 and 2026-08-05 at prices of $4.33 and $4.53 per share.

At what prices did Mattox sell his UPLD shares?

Mattox sold 1,000 shares of Upland Software at $4.33 per share on 2026-08-04 and another 1,000 shares at $4.53 per share on 2026-08-05. Both transactions involved Upland Software common stock.

Were Mattox’s UPLD stock sales made under a 10b5-1 plan?

Yes. Each reported sale is noted as conducted under an approved 10b5-1 Plan, with the adoption date of the referenced plan disclosed as 03/09/2026. The Form 4 also checks the Rule 10b5-1 trading plan affirmation box.

What position does Timothy Mattox hold at Upland Software (UPLD)?

The report identifies Timothy Mattox as a director of Upland Software, Inc. It does not list him as an officer or a ten percent owner, focusing instead on his board role and the reported common stock sales.

SEC Form 4

FORM 4

UNITED 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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/04/2026

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

X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	08/04/2026		S(1)		1,000	D	$4.33	38,900	D
Common Stock	08/05/2026		S(1)		1,000	D	$4.53	37,900	D

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount 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.

Remarks:

	Melanie Marshall (as attorney-in-fact for T. Mattox)	08/06/2026
	** 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 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)