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Original filing (PDF)20250925100158NAL0008390321001
UPLAND SOFTWARE, INC.
Form 5500
FILING_RECEIVED
UPLAND SOFTWARE INC. 401(K)
401(k) retirement plan
Active participants
431
Accounts w/ balance
731
Plan assets (EOY)
$65.2M
Net assets (EOY)
$65.2M
How this plan invests
This plan
5 pooled trusts
Schedule D
24 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
91
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
65
Vendor stack
100
Participation health
100
Knocking points off
- 27 bps in Schedule C fees — 70% above peer band of 16 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for UPLAND SOFTWARE, INC..
Plan sponsor
Name
UPLAND SOFTWARE, INC.
EIN
27-2992077
Address
900 S. CAPITAL OF TEXAS HIGHWAY, · SUITE 300 · AUSTIN, TX · 78746
Phone
(402) 858-9748
Industry
Custom Computer Programming· Professional & Technical Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-09-25
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
WINDES, INC.
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $0 | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NFP RETIREMENT INC | — | ALISO VIEJO, CA | INVESTMENT ADVISOR | $157K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $21K | — |
Investments
19 direct securities · 5 pooled funds· $65.2M(100% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Uncategorized
$57.4M
19 holdings
Common Collective Trust
$7.8M
5 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| FIDELITY 500 INDEX Mutual Fund | — | — | — | $11.4M | 17.6% | |
| VANGUARD TARGET RETIREMENT 2040 INV Mutual Fund | — | — | — | $6.0M | 9.2% | |
| VANGUARD TARGET RETIREMENT 2030 INV Mutual Fund | — | — | — | $5.1M | 7.8% | |
| LARGE CAP GROWTH I1 GREAT GRAY · EIN 82-4435820 / PN 375 | Common Collective Trust | — | — | $5.0M | 7.6% | |
| VANGUARD TARGET RETIREMENT 2035 INV Mutual Fund | — | — | — | $4.1M | 6.3% | |
| VANGUARD TARGET RETIREMENT 2050 INV Mutual Fund | — | — | — | $3.9M | 6.0% | |
| VANGUARD TARGET RETIREMENT 2045 INV Mutual Fund | — | — | — | $3.8M | 5.9% | |
| VANGUARD TARGET RETIREMENT 2025 INV Mutual Fund | — | — | — | $3.7M | 5.7% | |
| FIDELITY MID CAP INDEX Mutual Fund | — | — | — | $3.3M | 5.1% | |
| Key Guaranteed Portfolio Fund Group Annuity Contract | — | — | — | $2.7M | 4.1% | |
| AMERICAN FUNDS NEW PERSPECTIVE R6 Mutual Fund | — | — | — | $2.2M | 3.4% | |
| FIDELITY US BOND INDEX Mutual Fund | — | — | — | $2.0M | 3.1% | |
| ISHARES MSCI EAFE INTERNATIONAL INDEX K Mutual Fund | — | — | — | $2.0M | 3.0% | |
| FIDELITY SMALL CAP INDEX Mutual Fund | — | — | — | $1.9M | 2.9% | |
| VANGUARD TARGET RETIREMENT 2055 INV Mutual Fund | — | — | — | $1.4M | 2.2% | |
| VANGUARD TARGET RETIREMENT INCOME INV Mutual Fund | — | — | — | $1.3M | 2.0% | |
| VANGUARD TARGET RETIREMENT 2020 INV Mutual Fund | — | — | — | $1.0M | 1.5% | |
| SMALL CAP GROWTH FUND II FEE CLASS GREAT GRAY · EIN 38-4126288 / PN 592 | Common Collective Trust | — | — | $867K | 1.3% | |
| VANGUARD TARGET RETIREMENT 2060 INV Mutual Fund | — | — | — | $839K | 1.3% | |
| LARGE CAP VALUE I1 GREAT GRAY · EIN 38-4065329 / PN 426 | Common Collective Trust | — | — | $687K | 1.1% | |
| SMALL CAP VALUE FUND II CL I1 GREAT GRAY · EIN 38-4097325 / PN 488 | Common Collective Trust | — | — | $657K | 1.0% | |
| CORE BOND II GREAT GRAY · EIN 82-1986152 / PN 325 | Common Collective Trust | — | — | $572K | 0.9% | |
| Notes receivable from participants 4.25% - 9.50% | — | — | — | $461K | 0.7% | |
| JPMORGAN INTERNATIONAL EQUITY R6 Mutual Fund | — | — | — | $169K | 0.3% |