Filing Details
- Accession Number:
- 0001209191-21-043870
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-29 21:13:44
- Reporting Period:
- 2021-06-25
- Accepted Time:
- 2021-06-29 21:13:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1569345 | Sprinklr Inc. | CXM | Services-Prepackaged Software (7372) | 454771485 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1575779 | Iconiq Strategic Partners, L.p. | C/O Iconiq Capital 394 Pacific Avenue, 2Nd Floor San Francisco CA 94111 | No | No | Yes | No | |
| 1584545 | Iconiq Strategic Partners-B, L.p. | C/O Iconiq Capital 394 Pacific Avenue, 2Nd Floor San Francisco CA 94111 | No | No | Yes | No | |
| 1619682 | Iconiq Strategic Partners Ii-B, L.p. | C/O Iconiq Capital 394 Pacific Avenue, 2Nd Floor San Francisco CA 94111 | No | No | Yes | No | |
| 1619710 | Iconiq Strategic Partners Ii, L.p. | C/O Iconiq Capital 394 Pacific Avenue, 2Nd Floor San Francisco CA 94111 | No | No | Yes | No | |
| 1688124 | J.g. William Griffith | C/O Iconiq Capital 394 Pacific Avenue, 2Nd Floor San Francisco CA 94111 | No | No | Yes | No | |
| 1688143 | Divesh Makan | C/O Iconiq Capital 394 Pacific Avenue, 2Nd Floor San Francisco CA 94111 | No | No | Yes | No | |
| 1688389 | Iconiq Strategic Partners Tt Gp, Ltd. | C/O Iconiq Capital 394 Pacific Avenue, 2Nd Floor San Francisco MA 94111 | No | No | Yes | No | |
| 1688390 | Iconiq Strategic Partners Gp, L.p. | C/O Iconiq Capital 394 Pacific Avenue, 2Nd Floor San Francisco CA 94111 | No | No | Yes | No | |
| 1702831 | Iconiq Strategic Partners Ii Tt Gp, Ltd | C/O Iconiq Capital 394 Pacific Avenue, 2Nd Floor San Francisco CA 94111 | No | No | Yes | No | |
| 1702932 | Iconiq Strategic Partners Ii Gp, L.p. | C/O Iconiq Capital 394 Pacific Avenue, 2Nd Floor San Francisco CA 94111 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2021-06-25 | 758,821 | $0.00 | 0 | No | 5 | J | Direct | |
| Common Stock | Disposition | 2021-06-25 | 594,020 | $0.00 | 0 | No | 5 | J | Indirect | By ICONIQ Strategic Partners II-B, L.P. |
| Class A Common Stock | Acquisiton | 2021-06-25 | 157,720 | $16.00 | 157,720 | No | 4 | P | Direct | |
| Class A Common Stock | Acquisiton | 2021-06-25 | 123,462 | $16.00 | 123,462 | No | 4 | P | Indirect | By ICONIQ Strategic Partners II-B, L.P. |
| Class A Common Stock | Acquisiton | 2021-06-25 | 260,065 | $16.00 | 260,065 | No | 4 | P | Indirect | By ICONIQ Strategic Partners, L.P. |
| Class A Common Stock | Acquisiton | 2021-06-25 | 65,271 | $16.00 | 65,271 | No | 4 | P | Indirect | ICONIQ Strategic Partners-B, L.P. |
| Common Stock | Acquisiton | 2021-06-25 | 5,722,898 | $0.00 | 6,481,719 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2021-06-25 | 4,479,873 | $0.00 | 5,073,893 | No | 4 | C | Indirect | By ICONIQ Strategic Partners II-B, L.P. |
| Common Stock | Acquisiton | 2021-06-25 | 10,687,749 | $0.00 | 10,687,749 | No | 4 | C | Indirect | By ICONIQ Strategic Partners, L.P. |
| Common Stock | Acquisiton | 2021-06-25 | 2,682,411 | $0.00 | 2,682,411 | No | 4 | C | Indirect | ICONIQ Strategic Partners-B, L.P. |
| Common Stock | Disposition | 2021-06-25 | 6,481,719 | $0.00 | 0 | No | 5 | J | Direct | |
| Common Stock | Disposition | 2021-06-25 | 5,073,893 | $0.00 | 0 | No | 5 | J | Indirect | By ICONIQ Strategic Partners II-B, L.P. |
| Common Stock | Disposition | 2021-06-25 | 10,687,749 | $0.00 | 0 | No | 5 | J | Indirect | By ICONIQ Strategic Partners, L.P. |
| Common Stock | Disposition | 2021-06-25 | 2,682,411 | $0.00 | 0 | No | 5 | J | Indirect | ICONIQ Strategic Partners-B, L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | J | Direct | |
| No | 5 | J | Indirect | By ICONIQ Strategic Partners II-B, L.P. |
| No | 4 | P | Direct | |
| No | 4 | P | Indirect | By ICONIQ Strategic Partners II-B, L.P. |
| No | 4 | P | Indirect | By ICONIQ Strategic Partners, L.P. |
| No | 4 | P | Indirect | ICONIQ Strategic Partners-B, L.P. |
| No | 4 | C | Direct | |
| No | 4 | C | Indirect | By ICONIQ Strategic Partners II-B, L.P. |
| No | 4 | C | Indirect | By ICONIQ Strategic Partners, L.P. |
| No | 4 | C | Indirect | ICONIQ Strategic Partners-B, L.P. |
| No | 5 | J | Direct | |
| No | 5 | J | Indirect | By ICONIQ Strategic Partners II-B, L.P. |
| No | 5 | J | Indirect | By ICONIQ Strategic Partners, L.P. |
| No | 5 | J | Indirect | ICONIQ Strategic Partners-B, L.P. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series B Preferred Stock | Disposition | 2021-06-25 | 2,309,168 | $0.00 | 2,309,168 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2021-06-25 | 1,807,612 | $0.00 | 1,807,612 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2021-06-25 | 9,418,425 | $0.00 | 9,418,425 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2021-06-25 | 2,363,838 | $0.00 | 2,363,838 | $0.00 |
| Common Stock | Series D-2 Preferred Stock | Disposition | 2021-06-25 | 2,164,349 | $0.00 | 2,164,349 | $0.00 |
| Common Stock | Series D-2 Preferred Stock | Disposition | 2021-06-25 | 1,694,248 | $0.00 | 1,694,248 | $0.00 |
| Common Stock | Series D-2 Preferred Stock | Disposition | 2021-06-25 | 1,269,324 | $0.00 | 1,269,324 | $0.00 |
| Common Stock | Series D-2 Preferred Stock | Disposition | 2021-06-25 | 318,573 | $0.00 | 318,573 | $0.00 |
| Common Stock | Series E-1 Preferred Stock | Disposition | 2021-06-25 | 429,327 | $0.00 | 429,327 | $0.00 |
| Common Stock | Series E-1 Preferred Stock | Disposition | 2021-06-25 | 336,077 | $0.00 | 336,077 | $0.00 |
| Common Stock | Series E-2 Preferred Stock | Disposition | 2021-06-25 | 59,823 | $0.00 | 59,823 | $0.00 |
| Common Stock | Series E-2 Preferred Stock | Disposition | 2021-06-25 | 46,829 | $0.00 | 46,829 | $0.00 |
| Common Stock | Series F Preferred Stock | Disposition | 2021-06-25 | 760,231 | $0.00 | 760,231 | $0.00 |
| Common Stock | Series F Preferred Stock | Disposition | 2021-06-25 | 595,107 | $0.00 | 595,107 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-06-25 | 6,481,719 | $0.00 | 6,481,719 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-06-25 | 5,073,893 | $0.00 | 5,073,893 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-06-25 | 10,687,749 | $0.00 | 10,687,749 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-06-25 | 2,682,411 | $0.00 | 2,682,411 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Indirect | ||
| 6,481,719 | No | 4 | J | Direct | ||
| 5,073,893 | No | 4 | J | Indirect | ||
| 10,687,749 | No | 4 | J | Indirect | ||
| 2,682,411 | No | 4 | J | Indirect |
Footnotes
- Immediately prior to the closing of the Issuer's initial public offering and following the conversion of the preferred stock referenced in note 8 below, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
- ICONIQ Strategic Partners II GP, L.P. ("ICONIQ GP II"), is the sole general partner of ICONIQ II-B and ICONIQ II. ICONIQ Strategic Partners II TT GP, Ltd. ("ICONIQ Parent GP II") is the sole general partner of ICONIQ GP II. ICONIQ Strategic Partners GP, L.P. ("ICONIQ GP") is the sole general partner of ICONIQ and ICONIQ-B. ICONIQ Strategic Partners TT GP, Ltd. ("ICONIQ Parent GP") is the sole general partner of ICONIQ GP. Divesh Makan ("Makan") and William J.G. Griffith ("Griffith") are the sole equity holders of each of ICONIQ Parent GP II and ICONIQ Parent GP.
- The shares are held by ICONIQ Strategic Partners II, L.P. ("ICONIQ II").
- Each of ICONIQ II GP, ICONIQ Parent GP II, ICONIQ GP, ICONIQ Parent GP, Makan and Griffith disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
- The shares are held by ICONIQ Strategic Partners II-B, L.P. ("ICONIQ II-B").
- The shares are held by ICONIQ Strategic Partners, L.P. ("ICONIQ").
- The shares are held by ICONIQ Strategic Partners-B, L.P. ("ICONIQ-B").
- Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock, Series D Preferred Stock, Series D-2 Preferred Stock, Series E-1 Preferred Stock, Series E-2 Preferred Stock and Series F Preferred Stock automatically converted into Common Stock on a 1:1 basis. The preferred stock had no expiration date.
- Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the Reporting Person; and (3) the final conversion date, defined as the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 5.0% of the Issuer's then-outstanding Class A and Class B Common Stock to certain timing criteria.
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