John D Thornton

CIK 1252914 · View on SEC EDGAR ↗

Insider

First SEC filing: Nov. 5, 2014 · Latest: Nov. 5, 2014

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Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 17 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

17 other filings hidden
Date Ticker Code Shares Price Value Owned after Δ own A/D vs now
Nov. 12, 2014 UPLD P 57,692 $12.00 $692,304 1,309,550 Indirect +4.61% Acquired -96.4% (price as of 2026-08-20)
Nov. 12, 2014 UPLD P 38,462 $12.00 $461,544 873,034 Indirect +4.61% Acquired -96.4% (price as of 2026-08-20)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date Ticker Security Underlying Exercise price Expiration Shares A/D
Aug. 8, 2016 UPLD Stock Option (right to buy) Common Stock (15,487) $7.74 Aug. 8, 2026 15,487 Acquired
Nov. 9, 2015 UPLD Stock Option (right to buy) Common Stock (15,929) $7.84 Nov. 9, 2025 15,929 Acquired
Nov. 12, 2014 UPLD Series C Preferred Stock Common Stock (120,750) — — 120,750 Disposed
Nov. 12, 2014 UPLD Series C Preferred Stock Common Stock (80,500) — — 80,500 Disposed
Nov. 12, 2014 UPLD Series B Preferred Stock Common Stock (255,524) — — 255,524 Disposed
Nov. 12, 2014 UPLD Series B Preferred Stock Common Stock (383,286) — — 383,286 Disposed
Nov. 12, 2014 UPLD Series A Preferred Stock Common Stock (747,822) — — 747,822 Disposed
Nov. 12, 2014 UPLD Series A Preferred Stock Common Stock (498,548) — — 498,548 Disposed

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 7 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date Ticker Security Shares Ownership
Nov. 5, 2014 UPLD Common Stock 0 Direct
Nov. 5, 2014 UPLD Series A Preferred Stock→ Common Stock (498,548) 498,548 Indirect
Nov. 5, 2014 UPLD Series A Preferred Stock→ Common Stock (747,822) 747,822 Indirect
Nov. 5, 2014 UPLD Series B Preferred Stock→ Common Stock (255,524) 255,524 Indirect
Nov. 5, 2014 UPLD Series B Preferred Stock→ Common Stock (383,286) 383,286 Indirect
Nov. 5, 2014 UPLD Series C Preferred Stock→ Common Stock (80,500) 80,500 Indirect
Nov. 5, 2014 UPLD Series C Preferred Stock→ Common Stock (120,750) 120,750 Indirect