Upland Software (UPLD) director Mattox sells 1,000 shares in 10b5-1 trade

Rhea-AI Filing Summary

Upland Software, Inc. director Timothy Mattox reported a sale of 1,000 shares of common stock on 2026-08-06 at $4.27 per share in an open-market or private transaction. After this sale, he holds 36,900 shares directly. The transaction was conducted under an approved Rule 10b5-1 trading plan with an adoption date of 03/09/2026.

Insider Trade Summary 10b5-1

Net Seller: 1,000 shares

Net Sell 1 txn

Insider Mattox Timothy

Role Director

Sold 1,000 shs ($4K)

Type	Security	Shares	Price	Value
Sale	Common Stock F1	1,000	$4.27	$4K

Holdings After Transaction: Common Stock — 36,900 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: 1,000 shares Sale price per share: $4.27 per share Shares owned after transaction: 36,900 shares +1 more

4 metrics

Shares sold 1,000 shares Common stock sale on 2026-08-06

Sale price per share $4.27 per share Transaction price for the 1,000-share sale

Shares owned after transaction 36,900 shares Direct common stock holdings following the sale

10b5-1 plan adoption date 03/09/2026 Adoption date of the trading plan governing this sale

Key Terms

Rule 10b5-1 Plan, open market or private transaction, non-derivative

3 terms

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.

open market or private transaction market

"transaction code description: Sale in open market or private transaction"

non-derivative financial

"transaction_type: non-derivative"

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

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 08/10/2026 - 05:36 PM Accepted by SEC EDGAR 08/10/2026 - 05:36 PM Learn about SEC filing dates

FAQ

What insider transaction did Upland Software (UPLD) report for Timothy Mattox?

Upland Software reported that director Timothy Mattox sold 1,000 shares of common stock on 2026-08-06 in an open-market or private transaction at $4.27 per share.

How many Upland Software (UPLD) shares does Timothy Mattox hold after this sale?

After the reported transaction, Timothy Mattox directly holds 36,900 shares of Upland Software common stock, as stated in the ownership position following the sale.

At what price were the Upland Software (UPLD) shares sold in this Form 4 filing?

The 1,000 Upland Software common shares were sold at a price of $4.27 per share, described as the transaction price per share for this open-market or private sale.

Was the Upland Software (UPLD) insider sale made under a Rule 10b5-1 plan?

Yes. The filing states the sale was conducted under an approved Rule 10b5-1 Plan, with an adoption date of 03/09/2026, indicating it followed a pre-arranged trading plan.

What type of transaction was reported in Upland Software (UPLD) director Mattox’s Form 4?

The Form 4 reports a sale of common stock, coded as “S”, which represents a sale in an open market or private transaction, classified as a non-derivative security transaction.

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)
08/06/2026

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	08/06/2026		S(1)		1,000	D	$4.27	36,900	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)	08/10/2026
	** 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)