Filing Details
- Accession Number:
- 0001209191-21-043880
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-29 21:22:32
- Reporting Period:
- 2021-06-25
- Accepted Time:
- 2021-06-29 21:22:32
- 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 |
|---|---|---|---|---|---|---|---|
| 1866802 | Ragy Thomas | C/O Sprinklr, Inc. 29 West 35Th Street, 7Th Floor New York NY 10001 | Chief Executive Officer | Yes | Yes | No | 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 | 28,770,704 | $0.00 | 0 | No | 4 | J | Direct | |
| Common Stock | Disposition | 2021-06-25 | 8,129,863 | $0.00 | 0 | No | 4 | J | Direct | |
| Common Stock | Disposition | 2021-06-25 | 13,106,677 | $0.00 | 0 | No | 4 | J | Direct | |
| Common Stock | Disposition | 2021-06-25 | 3,165,320 | $0.00 | 0 | No | 4 | J | Direct | |
| Common Stock | Disposition | 2021-06-25 | 500,000 | $0.00 | 0 | No | 4 | J | Direct | |
| Class A Common Stock | Acquisiton | 2021-06-25 | 31,250 | $16.00 | 31,250 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | J | Direct | |
| No | 4 | J | Direct | |
| No | 4 | J | Direct | |
| No | 4 | J | Direct | |
| No | 4 | J | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-06-25 | 28,770,704 | $0.00 | 28,770,704 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-06-25 | 8,129,863 | $0.00 | 8,129,863 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-06-25 | 13,106,677 | $0.00 | 13,106,677 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-06-25 | 3,165,320 | $0.00 | 3,165,320 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-06-25 | 500,000 | $0.00 | 500,000 | $0.00 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-06-25 | 2,318,632 | $0.00 | 2,318,632 | $4.25 |
| Class B Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2021-06-25 | 2,318,632 | $0.00 | 2,318,632 | $4.25 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-06-25 | 575,000 | $0.00 | 575,000 | $4.93 |
| Class B Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2021-06-25 | 575,000 | $0.00 | 575,000 | $4.93 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-06-25 | 600,000 | $0.00 | 600,000 | $7.68 |
| Class B Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2021-06-25 | 600,000 | $0.00 | 600,000 | $7.68 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-06-25 | 2,318,632 | $0.00 | 2,318,632 | $4.25 |
| Class B Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2021-06-25 | 2,318,632 | $0.00 | 2,318,632 | $4.25 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-06-25 | 2,318,632 | $0.00 | 2,318,632 | $4.25 |
| Class B Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2021-06-25 | 2,318,632 | $0.00 | 2,318,632 | $4.25 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-06-25 | 2,318,632 | $0.00 | 2,318,632 | $4.25 |
| Class B Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2021-06-25 | 2,318,632 | $0.00 | 2,318,632 | $4.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 28,770,704 | No | 4 | J | Direct | ||
| 8,129,863 | No | 4 | J | Direct | ||
| 13,106,677 | No | 4 | J | Direct | ||
| 3,165,320 | No | 4 | J | Direct | ||
| 500,000 | No | 4 | J | Direct | ||
| 0 | 2029-03-18 | No | 4 | J | Direct | |
| 2,318,632 | 2029-03-18 | No | 4 | J | Direct | |
| 0 | 2030-03-11 | No | 4 | J | Direct | |
| 575,000 | 2030-03-11 | No | 4 | J | Direct | |
| 0 | 2031-01-28 | No | 4 | J | Direct | |
| 600,000 | 2031-01-28 | No | 4 | J | Direct | |
| 0 | 2029-05-18 | No | 4 | J | Direct | |
| 2,318,632 | 2029-05-18 | No | 4 | J | Direct | |
| 0 | 2029-05-18 | No | 4 | J | Direct | |
| 2,318,632 | 2029-05-18 | No | 4 | J | Direct | |
| 0 | 2029-05-18 | No | 4 | J | Direct | |
| 2,318,632 | 2029-05-18 | No | 4 | J | Direct |
Footnotes
- Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
- 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. If the Reporting Person is terminated for cause, each share of Class B common stock will automatically convert to Class A Common Stock.
- One third (1/3th) of the shares subject to the option award vested on May 1, 2020, and one thirty-sixth (1/36th) of the shares subject to the option award vested or shall vest on the first day of each month thereafter, subject to the Reporting Person's continuous service.
- One fourth (1/4th) of the shares subject to the option award vested on March 11, 2020, and one forty-eighth (1/48th) of the shares subject to the option award vested or shall vest on the first day of each month thereafter, subject to the Reporting Person's continuous service.
- One fifth (1/5th) of the shares subject to the option award shall vest on January 28, 2022, and one sixtieth (1/60th) of the shares subject to the option award shall vest on the first day of each month thereafter, subject to the Reporting Person's continuous service.
- Fully vested and exercisable.
- The shares subject to this option shall vest upon the Issuer's Class A Common Stock closing at an average price of $18 over thirty consecutive trading days.
- The shares subject to this option shall vest upon the Issuer's Class A Common Stock closing at an average price of $27 over thirty consecutive trading days.
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