Ulysses Aggregator Amends Upland Software 13D Filing

TL;DR

**Ulysses Aggregator just updated its 13D on Upland Software, signaling a change in their stake or intentions.**

AI Summary

Ulysses Aggregator, LP filed Amendment No. 2 to its Schedule 13D on February 27, 2024, regarding its beneficial ownership in Upland Software, Inc. The filing updates previous disclosures concerning Ulysses Aggregator, LP's stake in Upland Software's Common Stock, par value $0.0001 per share. David Chung of Ulysses Aggregator, LP, c/o HGGC, LLC, is listed as the contact person for the filing.

Why It Matters

This amendment indicates a change in beneficial ownership or intent by Ulysses Aggregator, LP regarding Upland Software, Inc., which can signal strategic shifts or ongoing investor activity in the company.

Risk Assessment

Risk Level: low — An amended 13D filing typically provides transparency on an investor's position and is a standard regulatory update, not inherently indicating high risk.

Key Numbers

• $0.0001 — Par Value per Share (Par value of Upland Software, Inc. Common Stock)

Key Players & Entities

• Upland Software, Inc. (company) — Issuer of securities
• ULYSSES AGGREGATOR, LP (company) — Filer of SC 13D/A
• HGGC FUND IV GP, LTD. (company) — Group Member
• David Chung (person) — Contact for Filer
• HGGC, LLC (company) — Affiliate of Filer's contact
• David B. Feirstein, P.C. (person) — Legal Counsel
• Marshall P. Shaffer, P.C. (person) — Legal Counsel
• Kirkland (company) — Law firm
• $0.0001 (dollar_amount) — Par value per share

FAQ

Key Financial Figures

• $0.0001 — me of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securiti

Filing Documents

• ea0200789-13da2ulysses_uplan.htm (SC 13D/A) — 47KB
• 0001213900-24-017574.txt ( ) — 49KB

Security and Issuer

Item 1. Security and Issuer This Amendment No. 2 (“ Amendment No. 2 ”) amends and supplements the statement on Schedule 13D filed by the Reporting Persons on August 25, 2022, as previously amended by Amendment No. 1 filed by the Reporting Person on December 18, 2023 (collectively, the “ Original Statement ”), relating to the common stock, par value $0.0001 per share (the “ Common Stock ”), of Upland Software, Inc., a Delaware corporation (the “ Issuer ”). The address of the principal executive office of the Issuer is 401 Congress Avenue, Suite 1850, Austin, Texas 78701. Except as specifically provided herein, this Amendment No. 2 does not modify any of the information previously reported on the Original Statement. Capitalized terms used but not otherwise defined in this Amendment No. 2 shall have the meanings ascribed to them in the Original Statement.

Interest in Securities of the Issuer

Item 5. Interest in Securities of the Issuer Items 5(a) and (b) of the Original Statement are hereby amended and restated as follows: (a) and (b) The aggregate number and percentage of the Common Stock beneficially owned by each Reporting Person and, for each Reporting Person, the number of shares as to which there is sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole power to dispose or to direct the disposition, or shared power to dispose or to direct the disposition are set forth on Rows 7 through 11 and Row 13 of the cover pages of this Schedule 13D and are incorporated herein by reference. Calculations of the percentage of the shares of Common Stock beneficially owned is based on the 28,855,055 shares of Common Stock outstanding as reported in the Issuer’s Annual Report on Form 10-K filed on February 22, 2024, as adjusted to include the 6,982,493 shares of Common Stock issuable upon conversion of the 122,194 shares of Series A Preferred Stock. This Amendment No. 2 is being filed to reflect a change in the percentage previously reported solely as a result of the change in the outstanding shares of Common Stock. There have been no other material changes to the information previously reported or transactions by the Reporting Persons since the filing of Amendment No. 1. Neither the filing of this statement on Schedule 13D nor any of its contents shall be deemed to constitute an admission by any of the Reporting Persons that such person is the beneficial owner of any of the shares of Common Stock referred to herein for purposes of the Act, or for any other purpose. 4 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 27, 2024 ULYSSES AGGREGATOR, LP By: ULYSSES AGGREGATOR GP, LLC, its General Partner By: /s/ David Chung Name: David Chung Title: President HGGC FUND I

View Full Filing

View this SC 13D/A filing on SEC EDGAR