Document



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

FORM 8‑K/A
Amendment No. 1

CURRENT REPORT
Pursuant to Section 13 or 15(d) of
The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported)

March 7, 2019

UPLAND SOFTWARE, INC.
(Exact name of registrant as specified in its charter)

Delaware
 
001-36720
 
27-2992077
(State or other jurisdiction of incorporation)
 
(Commission File Number)
 
(IRS Employer
Identification No.)

401 Congress Avenue, Suite 1850
Austin, Texas 78701
(Address of principal executive offices, including zip code)

(512) 960-1010
(Registrant’s telephone number, including area code)

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company x

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. x





Item 2.02    Results of Operations and Financial Condition.

Upland Software, Inc. (the “Company”) hereby amends its Form 8-K furnished on March 7, 2019, to update the disclosure therein to reflect the reclassification of $890,000 in stamp taxes paid in connection with acquisitions in the United Kingdom and Ireland from the related purchase price allocation to acquisition-related expense. As a result of the reclassification, the Company’s GAAP net income for the quarter was $1.8 million instead of $2.7 million and the Company’s GAAP net loss for the year was $10.8 million instead of $9.9 million. Adjusted EBITDA was unchanged for all periods.
For additional information, please see our Annual Report on Form 10-K for the year ended December 31, 2018, including our audited financial statements in Item 8 and a further discussion of the reclassification in Item 9B. The filing of this Form 8-K/A and the furnishing of the information contained herein is not intended to, and does not, constitute a determination or admission by the Company as to the materiality of any information contained herein or in any exhibit hereto or that the information provided includes material investor information that was not previously publicly available.








SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 
 
UPLAND SOFTWARE, INC.
 
 
 
 
 
 
By:
/s/ John T. McDonald
 
 
 
John T. McDonald
Chief Executive Officer
 

Date: March 15, 2019