UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GLOBAL UNDERVALUED SECURITIES MASTER FUND LP 301 COMMERCE STREET, SUITE 1900 FORT WORTH, TX 76102 |
 |  |  | Member of 10% owner group |
KLEINHEINZ CAPITAL PARTNERS, INC. 301 COMMERCE STREET, SUITE 1900 FORT WORTH, TX 76102 |
 |  |  | Member of 10% owner group |
MJBW Investments, LP 301 COMMERCE STREET, SUITE 1900 FORT WORTH, TX 76102 |
 |  |  | Member of 10% owner group |
MJBW Genpar, LLC 301 COMMERCE STREET, SUITE 1900 FORT WORTH, TX 76102 |
 |  |  | Member of 10% owner group |
KLEINHEINZ JOHN B 301 COMMERCE STREET, SUITE 1900 FORT WORTH, TX 76102 |
 |  |  | Member of 10% owner group |
/s/ John B. Kleinheinz, President of Kleinheinz Capital Partners, Inc., general partner of Global Undervalued Securities Master Fund, L.P. | 12/03/2015 | |
**Signature of Reporting Person | Date | |
/s/ John B. Kleinheinz, President of Kleinheinz Capital Partners, Inc. | 12/03/2015 | |
**Signature of Reporting Person | Date | |
/s/ John B. Kleinheinz, President of MJBW Genpar, LLC, general partner of MJBW Investments, LP | 12/03/2015 | |
**Signature of Reporting Person | Date | |
/s/ John B. Kleinheinz, President of MJBW Genpar, LLC | 12/03/2015 | |
**Signature of Reporting Person | Date | |
/s/ John B. Kleinheinz | 12/03/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | On November 25, 2015, Kleinheinz Capital Partners, Inc. ("Kleinheinz Capital"), MJBW Investments, LP ("MJBW"), MJBW Genpar, LLC ("Genpar"), Global Undervalued Securities Master Fund, L.P. ("Global Master"), and John B. Kleinheinz ("Mr. Kleinheinz") made a joint filing under Section 13(d) of the Securities Exchange Act of 1934, as amended, relating to the common stock of Upland Software, Inc. (the "Common Stock"). |
(2) | Represents shares of Common Stock directly beneficially owned by Global Master. |
(3) | Represents shares of Common Stock directly beneficially owned by MJBW. |
(4) | Kleinheinz Capital is the general partner of Global Master and indirectly benefically owns the shares of Common Stock owned by Global Master. |
(5) | Genpar is the general partner of MJBW and indirectly benefically owns the shares of Common Stock owned by MJBW. |
(6) | Mr. Kleinheinz is the sole director and President of Kleinheinz Capital and is the sole member and President of Genpar and indirectly beneficially owns the shares of Common Stock owned by Global Master and MJBW. Mr. Kleinheinz, Kleinheinz Capital and Genpar disclaim any beneficial ownership of shares of Common Stock, except to the extent of any pecuniary interest therein. |