What SEC filings does Upland Software, Inc. submit to the SEC?

Upland Software, Inc. (UPLD) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about UPLD?

A Form 4 for UPLD discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from Upland Software, Inc.?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for UPLD?

The 10-K is Upland Software, Inc.'s annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all UPLD SEC filings directly on EDGAR?

You can view all historical Upland Software, Inc. filings on the SEC EDGAR company page for UPLD. Each filing card on this page links directly to the original SEC document.

How often does Upland Software, Inc. file with the SEC?

Upland Software, Inc. files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling UPLD shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

UPLD SEC Filing News — Upland Software, Inc.

Latest SEC filings for Upland Software, Inc. (UPLD) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-09-21.

Upland Software, Inc., together with its subsidiaries, provides an AI-powered knowledge and content management software under the Upland brand name in the United States, the United Kingdom, Canada, and internationally. It offers knowledge management solutions to help organizations capture, organize, and distribute information to employees and customers; content lifecycle and workflow automation solutions that support document management, compliance, and processes in various industries; and tools…

Sector: Technology Industry: Software - Application Market Cap: $9.8M CIK: 1505155

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for UPLD currently lean bearish. Of the 20 filing records displayed, 4 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.

UPLD Filing Activity Snapshot 2026-07-07 — 2026-09-21

Insider Transactions (Form 4)

0 buys vs 4 sells

Net insider selling in this period — insiders sell for many reasons beyond conviction.

Largest Form 144 Filing

$8.9K

Mattox Timothy (Director) · 2026-08-04

2,000 shares · Form 4

Form 144 Notices

Proposed insider sales filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.

Insider Transactions 8 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 8 filings in this group are Form 4s for Upland Software, Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 8 insider filings shown, the breakdown is 4 open-market sale, 3 tax withholding and 1 compensation award. 4 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Open-market sale ×4: The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Tax withholding ×3: Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.
Compensation award ×1: Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Form 4 Tax withholding Tax / Compensation Filing 2026-09-21

UPLD insider Form 4 filed for equity award, exercise, or tax withholding

Doman Dan (Chief Operating & Product Ofcr) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	2,952	$3.94	$11.6K

Filing: Form 4 (Insider Transaction) Insider: Doman Dan (Chief Operating & Product Ofcr) Shares: 2,952

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-09-21

UPLD insider Form 4 filed for equity award, exercise, or tax withholding

Nathaniel Sean (CEO and President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	1,640	$3.94	$6.5K

Filing: Form 4 (Insider Transaction) Insider: Nathaniel Sean (CEO and President) Shares: 1,640

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-09-21

UPLD insider Form 4 filed for equity award, exercise, or tax withholding

Simon Jennifer L. (Chief Financial Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	1,117	$3.94	$4.4K

Filing: Form 4 (Insider Transaction) Insider: Simon Jennifer L. (Chief Financial Officer) Shares: 1,117

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-08-18

UPLD insider Form 4 filed for equity award, exercise, or tax withholding

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	30,000	—	—
`A`	Compensation award derivative · Performance Share Unit	6,666	—	—

Filing: Form 4 (Insider Transaction) Insider: Simon Jennifer L. (Chief Financial Officer) Shares: 30,000

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-08-11

UPLD insider Mattox Timothy (Director) sold 847 shares (~$3.6K)

Mattox Timothy, listed as Director at Upland Software, Inc., reported an open-market sale of 847 UPLD shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	847	$4.28	$3.6K

Filing: Form 4 (Insider Transaction) Insider: Mattox Timothy (Director) Shares: 847 Est. Value: $3.6K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-08-10

UPLD insider Mattox Timothy (Director) sold 1,000 shares (~$4.3K)

Mattox Timothy, listed as Director at Upland Software, Inc., reported an open-market sale of 1,000 UPLD shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	1,000	$4.27	$4.3K

Filing: Form 4 (Insider Transaction) Insider: Mattox Timothy (Director) Shares: 1,000 Est. Value: $4.3K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-08-06

UPLD insider Mattox Timothy (Director) sold 2,000 shares (~$8.9K)

Mattox Timothy, listed as Director at Upland Software, Inc., reported an open-market sale of 2,000 UPLD shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	1,000	$4.33	$4.3K
`S`	Open-market sale	1,000	$4.53	$4.5K

Filing: Form 4 (Insider Transaction) Insider: Mattox Timothy (Director) Shares: 2,000 Est. Value: $8.9K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-08-04

UPLD insider Mattox Timothy (Director) sold 2,000 shares (~$8.9K)

Mattox Timothy, listed as Director at Upland Software, Inc., reported an open-market sale of 2,000 UPLD shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	1,000	$4.48	$4.5K
`S`	Open-market sale	1,000	$4.45	$4.5K

Filing: Form 4 (Insider Transaction) Insider: Mattox Timothy (Director) Shares: 2,000 Est. Value: $8.9K

View on SEC EDGAR → Open Filing Document →

Proposed Insider Sales 6 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. Upland Software, Inc. has 6 such notices in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Proposed Insider Sale 2026-08-07

UPLD Form 144 filed for proposed insider sale by TIMOTHY WILLIAM MATTOX (848 shares) ~$3.6K

TIMOTHY WILLIAM MATTOX filed a Form 144 with the SEC indicating intent to sell UPLD (Upland Software, Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: TIMOTHY WILLIAM MATTOX Shares: 848 Est. Value: $3.6K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-08-06

UPLD Form 144 filed for proposed insider sale by TIMOTHY WILLIAM MATTOX (1,000 shares) ~$4.3K

Filing: Form 144 (Proposed Sale Notice) Insider: TIMOTHY WILLIAM MATTOX Shares: 1,000 Est. Value: $4.3K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-08-05

UPLD Form 144 filed for proposed insider sale by TIMOTHY WILLIAM MATTOX (1,000 shares) ~$4.5K

Filing: Form 144 (Proposed Sale Notice) Insider: TIMOTHY WILLIAM MATTOX Shares: 1,000 Est. Value: $4.5K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-08-04

UPLD Form 144 filed for proposed insider sale by TIMOTHY WILLIAM MATTOX (1,000 shares) ~$4.3K

Filing: Form 144 (Proposed Sale Notice) Insider: TIMOTHY WILLIAM MATTOX Shares: 1,000 Est. Value: $4.3K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-08-03

UPLD Form 144 filed for proposed insider sale by TIMOTHY WILLIAM MATTOX (1,000 shares) ~$4.5K

Filing: Form 144 (Proposed Sale Notice) Insider: TIMOTHY WILLIAM MATTOX Shares: 1,000 Est. Value: $4.5K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-07-31

UPLD Form 144 filed for proposed insider sale by TIMOTHY WILLIAM MATTOX (1,000 shares) ~$4.5K

Filing: Form 144 (Proposed Sale Notice) Insider: TIMOTHY WILLIAM MATTOX Shares: 1,000 Est. Value: $4.5K

View on SEC EDGAR → Open Filing Document →

Material Events 5 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 5 in this period for Upland Software, Inc. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-08-14