Upland Software's SEC filings document a cloud software issuer focused on AI-powered knowledge and content management applications. Recent Form 8-K reports furnish quarterly results and guidance, correct annual-report materials, disclose Nasdaq listing-compliance notices, changes in the independent registered public accounting firm, and chief executive transition and compensation arrangements.
Proxy materials cover annual meeting matters, board governance, executive compensation, equity awards, and pay-versus-performance disclosures. The filings also frame the company's capital structure through common stock and preferred stock purchase rights, while operating disclosures tie revenue and cash-flow measures to subscription and support software operations and completed divestitures.
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.
Timothy Mattox has filed a notice of proposed sale of 1,000 shares of common stock through Morgan Stanley Smith Barney LLC Executive Financial Services on or after 08/06/2026 on NASDAQ. The filing also lists several recent sales of common shares by Mattox over the prior three months.
Upland Software, Inc. reported that Nasdaq notified the company on July 31, 2026 that it no longer meets the $15 million minimum market value of publicly held shares requirement under Nasdaq Listing Rule 5450(b)(2&3)(C), based on the prior 30 consecutive business days. This is a notice of deficiency, not a delisting, and the common stock continues to trade on the Nasdaq Global Market under the symbol UPLD.
The company has 180 days, until January 27, 2027, to regain compliance. Compliance would be restored if the market value of publicly held shares closes at $15 million or more for at least ten consecutive business days, generally no more than twenty. If compliance is not regained by the deadline, the stock will be subject to delisting, and the company could appeal to a Nasdaq Hearings Panel, though there is no assurance an appeal or any remediation plans will succeed.
Timothy Mattox has filed a notice of proposed sales of common stock of issuer UPLD. The filing lists 1,000 shares of common stock to be sold through Morgan Stanley Smith Barney LLC Executive Financial Services on NASDAQ on 08/05/2026, tied to restricted stock originally issued on 12/16/2018.
The disclosure also reports past sales during the prior three months: 1,000 common shares on 07/31/2026 at 4480.00, 1,000 shares on 08/03/2026 at 4450.00, and 1,000 shares on 08/04/2026 at 4330.00. The proposed sale block is shown with a value figure of 2936320.
Upland Software, Inc. director Timothy Mattox reported two sales of common stock totaling 2,000 shares, with 1,000 shares sold at $4.48 on 2026-07-31 and 1,000 shares at $4.45 on 2026-08-03. According to the footnotes, these transactions were conducted under an approved 10b5-1 Plan adopted on 03/09/2026 and the shares were sold to cover tax withholding obligations arising from the vesting of restricted stock units.
Timothy Mattox filed a notice to sell common stock of UPLD under Rule 144. The planned transaction lists 1,000 common shares to be sold through Morgan Stanley Smith Barney LLC Executive Financial Services on August 4, 2026, with the security quoted on NASDAQ. The shares derive from restricted stock originally acquired from the issuer on December 16, 2018.
Over the prior three months, Mattox reported two sales of UPLD common stock: 1,000 shares on July 31, 2026 at a price of 4450.00, and 1,000 shares on August 3, 2026 at a price of 4480.00.
Upland Software Interim CFO David Tamez reports direct ownership of 6,947 shares of the company’s Common Stock. The position is categorized as a holding, indicating reported beneficial ownership without any associated purchase or sale transaction in this data.
Timothy Mattox, associated with UPLD, filed a notice to sell common stock under Rule 144. The planned transaction involves 1,000 shares of common stock through Morgan Stanley Smith Barney LLC Executive Financial Services on NASDAQ on 08/03/2026. A prior sale of 1,000 common shares occurred on 07/31/2026. The securities scheduled for sale include shares received as Restricted Stock on 12/16/2018, with the issuer listed as the source.
Upland Software, Inc. appointed Jennifer Simon as Chief Financial Officer, effective August 17, 2026, making her the company’s principal financial and accounting officer. She previously held senior finance roles at NextGen Healthcare, Quest Software, and Community Impact Newspaper, and is a Texas Certified Public Accountant with advanced accounting degrees from the University of Texas at Austin.
Under her executive employment agreement, Simon will receive an annual base salary of $350,000, eligibility for an annual bonus of up to 75% of base salary, a grant of 30,000 restricted stock units vesting in 12 equal installments over three years, and performance-based RSUs with 6,666 units at target and up to 25,000 units at maximum. If terminated without cause or if she resigns for good reason, she is eligible for 12 months of base-salary continuation and reimbursement of the employer portion of COBRA premiums for up to 12 months, subject to ongoing compliance with her agreement. Simon succeeds founding executive Mike Hill, who will retire from the CFO role.