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UPLD SCHEDULE 13D/A: Material agreement

Ulysses Aggregator, LP (affiliated with HGGC)

Filed with the SEC on · accession 0001213900-26-119010

UPLD filed a SCHEDULE 13D/A (schedule 13d/a) with the SEC on Nov 12, 2026. Ulysses Aggregator, LP (affiliated with HGGC) filed an amended Schedule 13D disclosing that it entered into a Dividend Waiver Agreement with Upland Software on November 9, 2026, under which it permanently waived all future dividends on its Series A Preferred Stock effective October 1, 2026. The stock moved -1.6% by the first close after the filing.

Summary of the filing

Ulysses Aggregator, LP (affiliated with HGGC) filed an amended Schedule 13D disclosing that it entered into a Dividend Waiver Agreement with Upland Software on November 9, 2026, under which it permanently waived all future dividends on its Series A Preferred Stock effective October 1, 2026. The filing also updates beneficial ownership, with Ulysses Aggregator LP beneficially owning approximately 21.76% of common stock (including as-converted preferred) and HGGC Fund IV GP, Ltd. reporting 22.46%.

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Key details

Shares of common stock beneficially owned by Ulysses Aggregator, LP (as-converted from preferred)$790K
Shares of common stock beneficially owned by HGGC Fund IV GP, Ltd.$815K
Series A Preferred Stock shares held by Ulysses Aggregator, LP$115K
IssuerUpland Software, Inc.
Reporting person / holder of series a preferred stockUlysses Aggregator, LP
Reporting person / affiliate of ulysses aggregatorHGGC Fund IV GP, Ltd.

How UPLD stock reacted

Close before

$3.08

Nov 11, 2026

First close after

-1.62%

$3.03

5 trading days

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Since filing

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Frequently asked questions

What did UPLD file with the SEC on Nov 12, 2026?

UPLD filed a SCHEDULE 13D/A (Material agreement). Ulysses Aggregator, LP (affiliated with HGGC) filed an amended Schedule 13D disclosing that it entered into a Dividend Waiver Agreement with Upland Software on November 9, 2026, under which it permanently waived all future dividends on its Series A Preferred Stock effective October 1, 2026. The filing also updates beneficial ownership, with Ulysses Aggregator LP beneficially owning approximately 21.76% of common stock (including as-converted preferred) and HGGC Fund IV GP, Ltd. reporting 22.46%.

What does a material agreement mean for UPLD stock?

A contract important enough that investors need to know about it — a big customer contract, a loan, a merger agreement or a partnership.

How do I read a SCHEDULE 13D/A?

A report the company filed with the SEC (the US market regulator). Start with the summary, then the key amounts and names. Compare it with the company’s earlier filings.

Why are SEC filings important?

Public companies must tell the SEC about anything that can change their value — results, leadership changes, big deals, new shares, bankruptcy. Filings are the official source, often before the news. A SCHEDULE 13D/A (schedule 13d/a): A report the company filed with the SEC (the US market regulator).

How did UPLD stock react to this filing?

UPLD closed at $3.08 before the filing and $3.03 on Nov 12, 2026 (-1.62%).

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