Vault-13

UPLAND SOFTWARE INC

COM · CUSIP 91544A109 · ISIN US91544A1097

91 institutional holders -32 vs Q1 2023
26,022,99126.0m shares reported held*
$85.1mreported value*
11 new 32 added 39 reduced 40 sold out net sold ≈ $4.6m (+14.1k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $3.27. Options: 9 managers hold calls ($1.3m notional), 6 hold puts ($637.2k).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 137Q4 22: 134Q1 23: 123Q2 23: 9191Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022137
Q4 2022134
Q1 2023123
Q2 202391

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
1000100Q4 22: 71 bought or addedQ4 22: 70 cut or sold outQ4 22Q1 23: 75 bought or addedQ1 23: 60 cut or sold outQ1 23Q2 23: 43 bought or addedQ2 23: 79 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20227170
Q1 20237560
Q2 20234379

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$2m$4m$6mQ3 22 calls: $3.9mQ3 22 puts: $5.1mQ3 22P/C 1.33Q4 22 calls: $2.7mQ4 22 puts: $1.4mQ4 22P/C 0.53Q1 23 calls: $2.0mQ1 23 puts: $695.4kQ1 23P/C 0.34Q2 23 calls: $1.3mQ2 23 puts: $637.2kQ2 23P/C 0.48
Numbers
QuarterCallsPutsP/C
Q3 2022$3.9m$5.1m1.33
Q4 2022$2.7m$1.4m0.53
Q1 2023$2.0m$695.4k0.34
Q2 2023$1.3m$637.2k0.48

Biggest buyers

Hodges Capital Management Inc. Added +1,256,281+1.3m
NEW SOUTH CAPITAL MANAGEMENT INC Added +690,417+690.4k
ACADIAN ASSET MANAGEMENT LLC Added +647,709+647.7k
AMERIPRISE FINANCIAL INC Added +607,256+607.3k
RBF Capital, LLC New +443,787+443.8k
Palogic Value Management, L.P. Added +395,034+395.0k
TWO SIGMA INVESTMENTS, LP Added +332,706+332.7k
TWO SIGMA ADVISERS, LP New +323,000+323.0k
272 Capital LP Added +316,392+316.4k
AQR CAPITAL MANAGEMENT LLC Added +243,297+243.3k

Biggest sellers

BlackRock Inc. Reduced -1,348,296-1.3m
JPMORGAN CHASE & CO Reduced -676,605-676.6k
Marathon Asset Management Ltd Sold out -640,000-640.0k
NEEDHAM INVESTMENT MANAGEMENT LLC Reduced -550,000-550.0k
STATE STREET CORP Reduced -424,810-424.8k
FEDERATED HERMES, INC. Reduced -387,876-387.9k
PRUDENTIAL FINANCIAL INC Sold out -290,055-290.1k
GEODE CAPITAL MANAGEMENT, LLC Reduced -281,471-281.5k
NORTHERN TRUST CORP Reduced -195,560-195.6k
Allspring Global Investments Holdings, LLC Sold out -180,907-180.9k

Biggest calls

Caption Management, LLC Unchanged $306.0k85.0k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $289.1k80.3k shares
SIMPLEX TRADING, LLC Added $213.0k59.4k shares
WOLVERINE TRADING, LLC Reduced $186.1k51.4k shares
UBS Group AG Unchanged $180.0k50.0k shares
CITADEL ADVISORS LLC Reduced $104.4k29.0k shares
PEAK6 Investments LLC Reduced $54.0k15.0k shares
GROUP ONE TRADING LLC Reduced $4.7k1.3k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CITADEL ADVISORS LLC Added $235.4k65.4k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $189.7k52.7k shares
UBS Group AG Unchanged $180.0k50.0k shares
GROUP ONE TRADING LLC Added $28.1k7.8k shares
SIMPLEX TRADING, LLC Reduced $4.0k1.2k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
van Schaick Petrus Paulus 13G · passive investor +2.0 pts · filed 2025-11-10 9.0% +2.0 pts 2.6m 2025-11-10

Fell to 5% or below in the last year: VANGUARD GROUP INC (0.0%, 2026-03-27)

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 VANGUARD GROUP INC 0.00% of their portfolio Valley Forge, PA 2,629,1152.6m $9.5m $9.5m 0.00% Added +53.3k +53,284
2 Hodges Capital Management Inc. 0.01% of their portfolio DALLAS, TX 2,390,2672.4m $12.3k $12.3k 0.01% Added +1.3m +1,256,281
3 NEW SOUTH CAPITAL MANAGEMENT INC 0.26% of their portfolio MEMPHIS, TN 1,603,5841.6m $5.8m $5.8m 0.26% Added +690.4k +690,417
4 272 Capital LP 2.04% of their portfolio DALLAS, TX 1,542,2431.5m $5.6m $5.6m 2.04% Added +316.4k +316,392
5 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 1,486,8391.5m $5.4m $5.4m 0.00% Added +607.3k +607,256
6 ACADIAN ASSET MANAGEMENT LLC 0.02% of their portfolio Boston, MA 1,287,9021.3m $4.6m $4.6m 0.02% Added +647.7k +647,709
7 D. E. Shaw & Co., Inc. 0.01% of their portfolio New York, NY 1,258,5341.3m $4.5m $4.5m 0.01% Added +175.9k +175,894
8 BlackRock Inc. 0.00% of their portfolio New York, NY 1,108,6691.1m $4.0m $4.0m 0.00% Reduced -1.3m -1,348,296
9 AQR CAPITAL MANAGEMENT LLC 0.01% of their portfolio Greenwich, CT 1,008,1531.0m $3.6m $3.6m 0.01% Added +243.3k +243,297
10 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 970,122970.1k $3.5m $3.5m 0.00% Added +81.9k +81,866
11 BOOTHBAY FUND MANAGEMENT, LLC 0.09% of their portfolio NEW YORK, NY 776,968777.0k $2.8m $2.8m 0.09% Added +200.7k +200,703
12 Palogic Value Management, L.P. 1.12% of their portfolio DALLAS, TX 660,034660.0k $2.4m $2.4m 1.12% Added +395.0k +395,034
13 Invenomic Capital Management LP 0.12% of their portfolio BOSTON, MA 603,278603.3k $2.2m $2.2m 0.12% Reduced -60.7k -60,722
14 Hillsdale Investment Management Inc. 0.18% of their portfolio Toronto, A6 537,306537.3k $1.9m $1.9m 0.18% Reduced -57.5k -57,500
15 PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO 0.01% of their portfolio COLUMBUS, OH 516,712516.7k $1.9m $1.9m 0.01% Added +227.1k +227,135
16 Assenagon Asset Management S.A. 0.01% of their portfolio SENNINGERBERG, N4 512,712512.7k $1.8m $1.8m 0.01% Added +130.6k +130,576
17 RBF Capital, LLC 0.10% of their portfolio RENO, NV 443,787443.8k $1.6m $1.6m 0.10% New
18 RICE HALL JAMES & ASSOCIATES, LLC 0.09% of their portfolio San Diego, CA 441,812441.8k $1.6m $1.6m 0.09% Added +17.9k +17,879
19 First Eagle Investment Management, LLC 0.00% of their portfolio NEW YORK, NY 404,935404.9k $1.5m $1.5m 0.00% Added +76.7k +76,731
20 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 363,047363.0k $1.3m $1.3m 0.00% Added +15.1k +15,130
21 TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio NEW YORK, NY 356,809356.8k $1.3m $1.3m 0.00% Added +332.7k +332,706
22 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 345,973346.0k $1.2m $1.2m 0.00% Reduced -158.6k -158,599
23 Walleye Capital LLC 0.02% of their portfolio NEW YORK, NY 325,173325.2k $1.2m $1.2m 0.02% Added +214.8k +214,822
24 TWO SIGMA ADVISERS, LP 0.00% of their portfolio NEW YORK, NY 323,000323.0k $1.2m $1.2m 0.00% New
25 GEODE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio BOSTON, MA 292,864292.9k $1.1m $1.1m 0.00% Reduced -281.5k -281,471
26 ROYCE & ASSOCIATES LP 0.01% of their portfolio New York, NY 244,100244.1k $878.8k $878.8k 0.01% Unchanged
27 CastleKnight Management LP 0.17% of their portfolio New York, NY 224,823224.8k $809.4k $809.4k 0.17% Added +65.8k +65,765
28 DIMENSIONAL FUND ADVISORS LP 0.00% of their portfolio AUSTIN, TX 224,423224.4k $808.0k $808.0k 0.00% Reduced -80.4k -80,422
29 JACOBS LEVY EQUITY MANAGEMENT, INC 0.00% of their portfolio FLORHAM PARK, NJ 205,273205.3k $739.0k $739.0k 0.00% Reduced -3.1k -3,149
30 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 189,309189.3k $681.5k $681.5k 0.00% Reduced -676.6k -676,605
31 RIVER GLOBAL INVESTORS LLP 0.13% of their portfolio LONDON, X0 185,409185.4k $669.0k $669.0k 0.13% Added +85.6k +85,580
32 XTX Topco Ltd 0.12% of their portfolio LONDON, X0 182,859182.9k $658.3k $658.3k 0.12% Added +82.8k +82,758
33 STATE OF WISCONSIN INVESTMENT BOARD 0.00% of their portfolio MADISON, WI 162,200162.2k $583.9k $583.9k 0.00% Added +44.6k +44,600
34 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio SAN FRANCISCO, CA 158,007158.0k $568.8k $568.8k 0.00% Reduced -45.0k -45,026
35 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 135,106135.1k $486.4k $486.4k 0.00% Reduced -27.4k -27,354
36 Squarepoint Ops LLC 0.00% of their portfolio NEW YORK, NY 125,148125.1k $450.5k $450.5k 0.00% Added +65.1k +65,072
37 STATE STREET CORP 0.00% of their portfolio BOSTON, MA 102,051102.1k $367.4k $367.4k 0.00% Reduced -424.8k -424,810
38 GSA CAPITAL PARTNERS LLP 0.04% of their portfolio LONDON, X0 100,118100.1k $360.0k $360.0k 0.04% Reduced -77.6k -77,554
39 NEEDHAM INVESTMENT MANAGEMENT LLC 0.06% of their portfolio NEW YORK, NY 100,000100.0k $360.0k $360.0k 0.06% Reduced -550.0k -550,000
40 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 83,12583.1k $299.0k $299.0k 0.00% Reduced -4.1k -4,082
41 Engineers Gate Manager LP 0.01% of their portfolio NEW YORK, NY 82,91282.9k $298.5k $298.5k 0.01% Reduced -20.8k -20,779
42 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 75,96876.0k $273.5k $273.5k 0.00% Reduced -91.6k -91,644
43 First Dallas Securities Inc. 0.14% of their portfolio DALLAS, TX 71,50071.5k $257.0k $257.0k 0.14% Added +30.0k +30,000
44 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 62,45962.5k $224.9k $224.9k 0.00% Reduced -168.5k -168,476
45 KENNEDY CAPITAL MANAGEMENT LLC 0.01% of their portfolio ST LOUIS, MO 60,27160.3k $217.0k $217.0k 0.01% Unchanged
46 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 58,89258.9k $212.0k $212.0k 0.00% Reduced -25.1k -25,132
47 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 58,27158.3k $209.8k $209.8k 0.00% Reduced -195.6k -195,560
48 FMR LLC 0.00% of their portfolio BOSTON, MA 58,08358.1k $209.1k $209.1k 0.00% Reduced -56.2k -56,217
49 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 57,24057.2k $206.1k $206.1k 0.00% Added +44.5k +44,488
50 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 55,36955.4k $199.3k $199.3k 0.00% Reduced -8.3k -8,322
51 OCCUDO QUANTITATIVE STRATEGIES LP 0.02% of their portfolio FORT LAUDERDALE, FL 54,45654.5k $196.0k $196.0k 0.02% Reduced -40.7k -40,663
52 PRICE T ROWE ASSOCIATES INC /MD/ 0.00% of their portfolio BALTIMORE, MD 52,47052.5k $189.0k $189.0k 0.00% Added +18.9k +18,878
53 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 49,41549.4k $177.9k $177.9k 0.00% New
54 Jump Financial, LLC 0.01% of their portfolio Chicago, IL 46,98547.0k $169.1k $169.1k 0.01% New
55 UBS Group AG 0.00% of their portfolio ZURICH, V8 44,20744.2k $159.1k $159.1k 0.00% Added +2.7k +2,672
56 HSBC HOLDINGS PLC 0.00% of their portfolio LONDON, X0 38,73038.7k $139.4k $139.4k 0.00% Added +6 +6
57 PRELUDE CAPITAL MANAGEMENT, LLC 0.01% of their portfolio NEW YORK, NY 37,90037.9k $136.4k $136.4k 0.01% Added +10.8k +10,778
58 Man Group plc 0.00% of their portfolio LONDON, X0 37,26937.3k $134.2k $134.2k 0.00% New
59 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 35,28535.3k $127.0k $127.0k 0.00% Reduced -15.0k -14,985
60 Cubist Systematic Strategies, LLC 0.00% of their portfolio STAMFORD, CT 34,21934.2k $123.2k $123.2k 0.00% Reduced -32.3k -32,264
61 BRIDGEWAY CAPITAL MANAGEMENT, LLC 0.00% of their portfolio HOUSTON, TX 32,30032.3k $116.3k $116.3k 0.00% New
62 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 31,88231.9k $114.8k $114.8k 0.00% Reduced -3.6k -3,603
63 Y-Intercept (Hong Kong) Ltd 0.01% of their portfolio HONG KONG, K3 31,42931.4k $113.1k $113.1k 0.01% New
64 State of Wyoming 0.03% of their portfolio CHEYENNE, WY 23,85923.9k $85.9k $85.9k 0.03% Added +16.4k +16,435
65 PATHSTONE FAMILY OFFICE, LLC 0.00% of their portfolio ENGLEWOOD, NJ 23,37823.4k $84.2k $84.2k 0.00% New
66 Point72 Middle East FZE 0.00% of their portfolio DUBAI, C0 23,34923.3k $84.1k $84.1k 0.00% Added +21.9k +21,927
67 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 21,56721.6k $77.0k $77.0k 0.00% Reduced -1.6k -1,605
68 Corton Capital Inc. 0.04% of their portfolio Carrying Place, A6 21,45621.5k $77.2k $77.2k 0.04% Added +2.0k +1,970
69 Dynamic Technology Lab Private Ltd 0.01% of their portfolio SINGAPORE, U0 20,17620.2k $72.0k $72.0k 0.01% Reduced -9.6k -9,594
70 Vontobel Holding Ltd. 0.00% of their portfolio ZURICH, V8 17,00017.0k $61.2k $61.2k 0.00% Unchanged
71 STEEL GROVE CAPITAL ADVISORS, LLC 0.01% of their portfolio MEMPHIS, TN 14,41114.4k $51.9k $51.9k 0.01% Unchanged
72 Bridgeworth, LLC 0.01% of their portfolio BIRMINGHAM, AL 13,50013.5k $48.6k $48.6k 0.01% New
73 Schonfeld Strategic Advisors LLC 0.00% of their portfolio NEW YORK, NY 11,10011.1k $40.0k $40.0k 0.00% Reduced -7.8k -7,800
74 Delphia (USA) Inc. 0.06% of their portfolio Toronto, A6 11,07411.1k $39.9k $39.9k 0.06% Reduced -4.7k -4,719
75 Tower Research Capital LLC (TRC) 0.00% of their portfolio NEW YORK, NY 10,84110.8k $39.0k $39.0k 0.00% Reduced -2.4k -2,369
76 Caption Management, LLC 0.01% of their portfolio OKLAHOMA CITY, OK 9,5239.5k $34.3k $34.3k 0.01% Unchanged
77 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 7,6737.7k $27.6k $27.6k 0.00% Reduced -1.1k -1,065
78 FEDERATED HERMES, INC. 0.00% of their portfolio PITTSBURGH, PA 3,5343.5k $12.7k $12.7k 0.00% Reduced -387.9k -387,876
79 RHUMBLINE ADVISERS 0.00% of their portfolio BOSTON, MA 2,6842.7k $9.7k $9.7k 0.00% Reduced -42.5k -42,465
80 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 2,5512.6k $9.2k $9.2k 0.00% Reduced -3.5k -3,541
81 Russell Investments Group, Ltd. 0.00% of their portfolio Seattle, WA 2,0002.0k $7.2k $7.2k 0.00% Reduced -10.7k -10,700
82 Quantbot Technologies LP 0.00% of their portfolio NEW YORK, NY 1,8391.8k $6.6k $6.6k 0.00% Reduced -23.9k -23,862
83 GROUP ONE TRADING LLC 0.00% of their portfolio CHICAGO, IL 1,2381.2k $4.5k $4.5k 0.00% Reduced -953 -953
84 Coppell Advisory Solutions LLC 0.00% of their portfolio COPPELL, TX 400400 $1.4k $1.4k 0.00% New
85 NEW YORK STATE COMMON RETIREMENT FUND 0.00% of their portfolio ALBANY, NY 233233 $839 $839 0.00% Reduced -9.0k -9,030
86 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 208208 $4.0k $4.0k 0.00% New
87 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 3939 $140 $140 0.00% Reduced -211 -211
88 GPS Wealth Strategies Group, LLC 0.00% of their portfolio CENTENNIAL, CO 3939 $140 $140 0.00% Unchanged
89 Anchor Investment Management, LLC 0.00% of their portfolio COLUMBIA, SC 1717 $61 $61 0.00% Unchanged
90 HUNTINGTON NATIONAL BANK 0.00% of their portfolio COLUMBUS, OH 11 $4 $4 0.00% Unchanged
91 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged