Filing Details
- Accession Number:
- 0001209191-21-070339
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-12-17 17:05:46
- Reporting Period:
- 2021-12-15
- Accepted Time:
- 2021-12-17 17:05:46
- 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 |
|---|---|---|---|---|---|---|---|
| 1866859 | Grad Wilson Conn | C/O Sprinklr, Inc. 29 West 35Th Street, 7Th Floor New York NY 10001 | Chief Experience Officer | No | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2021-12-15 | 10,000 | $0.00 | 26,582 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2021-12-15 | 10,000 | $15.00 | 16,582 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-12-15 | 10,000 | $0.00 | 10,000 | $3.99 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-12-15 | 10,000 | $3.99 | 10,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2021-12-15 | 10,000 | $0.00 | 10,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 198,333 | 2028-05-09 | No | 4 | M | Direct | |
| 10,000 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- 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, subject to certain timing criteria.
- Shares were sold pursuant to a Rule 10b5-1 trading plan.
- One fourth (1/4th) of the shares subject to the option award vested on April 9, 2019, 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.
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