[Form 4] Upland Software, Inc. Insider Trading Activity

Upland Software, Inc. Chief Operating & Product Officer Dan Doman reported a routine tax-related share disposition.

Rhea-AI Filing Summary

Upland Software, Inc. Chief Operating & Product Officer Dan Doman reported a routine tax-related share disposition. On the reported date, 33,491 shares of common stock were withheld by the company at a price of $0.54 per share to cover tax obligations tied to vesting restricted stock units. This was explicitly described as not being an open-market sale. After the withholding, Doman directly owned 923,766 shares of Upland common stock, indicating he continues to hold a substantial equity position in the company.

Insights

Insider transactions analyst

Routine tax withholding, not an open-market insider sale.

The filing shows 33,491 Upland Software common shares were withheld to satisfy tax obligations upon RSU vesting, at $0.54 per share. The footnote clarifies this is not an open-market sale but a mechanical settlement step.

Following the transaction, Dan Doman holds 923,766 shares directly, so the withheld amount represents a relatively small portion of his stake. There are no derivative positions listed, and no open-market buying or selling is disclosed, making this a routine compensation-related event with limited informational value for investors.

Insider Trade Summary

Exercise Price or Tax Liability: 33,491 shares

Exercise Price or Tax Liability 1 txn

Insider Doman Dan

Role Chief Operating & Product Ofcr

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	33,491	$0.54	$18K

Holdings After Transaction: Common Stock — 923,766 shares (Direct)

Footnotes (1)

1. F1. Shares withheld by the issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units. This is not an open market sale of securities.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did Upland Software (UPLD) report for Dan Doman?

Upland Software reported that executive Dan Doman had 33,491 common shares withheld to cover tax obligations on vested restricted stock units. This was classified as a tax-withholding disposition, not an open-market share sale.

Was the Upland Software (UPLD) Form 4 a buy or sell by Dan Doman?

The Form 4 for Upland Software did not show an open-market buy or sell by Dan Doman. Instead, it disclosed a tax-withholding disposition, where shares were withheld to satisfy tax liabilities on RSU vesting.

How many Upland Software (UPLD) shares were withheld for Dan Doman’s taxes?

The filing states that 33,491 shares of Upland Software common stock were withheld. These shares were used to satisfy tax withholding obligations associated with the vesting of restricted stock units, rather than being sold on the open market.

What price per share was used for Dan Doman’s Upland Software tax withholding?

The tax-withholding disposition used a price of $0.54 per Upland Software common share. This figure is applied within the filing to value the 33,491 shares withheld to meet Dan Doman’s tax obligations on vested restricted stock units.

How many Upland Software (UPLD) shares does Dan Doman own after this Form 4?

After the tax-withholding transaction, Dan Doman directly owned 923,766 shares of Upland Software common stock. This post-transaction holding shows he retains a large equity position even after the shares were withheld for tax purposes.

Does the Upland Software Form 4 indicate any remaining derivative securities for Dan Doman?

The Form 4 data does not list any remaining derivative securities, such as options or warrants, for Dan Doman. The filing focuses on common stock withheld for taxes following the vesting of restricted stock units.

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

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Accepted by SEC EDGAR 03/17/2026 - 04:30 PM Learn about SEC filing dates

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).

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^*

Doman Dan

(Last) (First) (Middle)

900 S. CAPITAL OF TEXAS HWY

LAS CIMAS IV, SUITE 300

(Street)

AUSTIN TX 78746

(City) (State) (Zip)

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

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

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Operating & Product Ofcr

3. Date of Earliest Transaction (Month/Day/Year)
03/16/2026

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

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 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	03/16/2026		F(1)		33,491	D	$0.54	923,766	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. Shares withheld by the issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units. This is not an open market sale of securities.

Remarks:

	/s/ Michael D. Hill (as attorney-in-fact for D. Doman)	03/17/2026
	** 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.