# Upland Software, INC. 401(k) Plan
Source: https://planprovider.pro/companies/upland-software-inc-401k-plan

> Upland Software, INC.'s 401(k) plan: 431 participants, plan year 2024 financials, providers, and benchmarks from Form 5500.

Form 5500 filing data for plan year 2024.

## Plan Snapshot

- **Plan Sponsor:** Upland Software, INC.

- **Sponsor EIN:** 272992077

- **Sponsor Address:** 900 S. CAPITAL OF TEXAS HIGHWAY,, AUSTIN, TX, 78746

- **Plan Type:** 401(k)

- **Total Participants:** 431

- **Total Assets:** $65.2M

## Key Plan Design Features

- **Auto-Enrollment:** Yes

- **Auto-Escalation:** No

- **Allows Roth Contributions:** Yes

- **Participant Loans:** No

- **Participant-Directed Investments:** Yes

- **ERISA Section 404(c) Fiduciary Safe Harbor:** Yes

## Plan Financials by Year

| Year|Participants|Total Assets|Employer Contrib.|Employee Contrib.|

| 2024|431|$65.2M|$0|$4.3M|

| 2023|474|$60.7M|$0|$4.6M|

| 2022|445|$55.9M|$0|$4.5M|

## Service Providers (Schedule C)

Vendors paid $5,000 or more for services to the plan, ranked by total compensation (direct + indirect fees).

| Provider Name|
Role|
Direct Compensation|
Indirect Compensation|
Total Fees|

| NFP RETIREMENT INC|INVESTMENT ADVISOR|$157,106|—|$157,106|

| EMPOWER ANNUITY INSURANCE COMPANY|RECORDKEEPER|—|$87,626|$87,626|

| EMPOWER ADVISORY GROUP, LLC|INVESTMENT MGMT|$20,619|—|$20,619|

| WINDES, INC.|Auditor|—|—|$0|

### Verified Provider Profiles

Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:

- [WINDES, INC.](https://planprovider.pro/provider/windes-inc) — Auditor

## Plan Fees & Expenses

Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.

- **Total Service Provider Fees:** $265,351

- **Estimated Expense Ratio:** 0.407% of plan assets

### Historical Administrative Expenses

Breakdown of administrative expense categories reported on Form 5500 filings.

| Year|
Total Admin Expenses|
Investment Mgmt Fees|
Contract Admin Fees|
IQPA Audit Fees|
Professional Fees|

| 2024|$265,351|$265,351|—|—|—|

| 2023|$219,719|$219,719|—|—|—|

| 2022|$218,644|$218,644|—|—|—|

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