Other Information
−Removed: During the three months ended June 30, 2023, none of our executive officers or directors adopted or terminated any contract,
−Removed: instruction or written plan for the purchase or sale of our securities that was intended to satisfy the affirmative defense
−Removed: conditions of Rule 10b5-1(c) or any “non-Rule 10b5-1 trading arrangement”.
+Added: Rule 10b5-1 Trading Plans
+Added: On August 24, 2023 , Karen Cummings , our Executive Vice President and Senior General Manager , adopted a written plan for the sale of up to 46,049 shares of the Company’s Common Stock that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) of the Exchange Act.
+Added: The written plan will expire on August 23, 2024, or on any earlier date on which all of the shares have been sold.
+Added: During the three months ended September 30, 2023, none of our executive officers or directors adopted or terminated any contract, instruction or written plan for the purchase or sale of our securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or any “non-Rule 10b5-1 trading arrangement”.
See the Exhibit Index immediately following this page, which is incorporated herein by reference.
1 unchanged sentence
Exhibit Number Exhibit Description
−Removed: Employment Agreement between the Registrant and Dan Doman, dated November 1, 2022
Certification of Chief Executive Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
5 unchanged sentences
101* Inline XBRL (Extensible Business Reporting Language).
−Removed: The following materials from this Quarterly Report on Form 10-Q for the periods ended June 30, 2023, formatted in Inline XBRL:
+Added: The following materials from this Quarterly Report on Form 10-Q for the periods ended September 30, 2023, formatted in Inline XBRL:
(i) condensed consolidated balance sheets of Upland Software, Inc., (ii) condensed consolidated statements of operations of Upland Software, Inc., (iii) condensed consolidated statements of comprehensive income/(loss) of Upland Software, Inc., (iv) condensed consolidated statement of stockholders’ equity of Upland Software, Inc., (v) condensed consolidated statements of cash flows of Upland Software, Inc.
6 unchanged sentences
UPLAND SOFTWARE, INC.
−Removed: August 3, 2023 /s/ Michael D.
+Added: November 2, 2023 /s/ Michael D.
Chief Financial Officer
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.