Filing Details
- Accession Number:
- 0001209191-22-024239
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-04-13 06:00:14
- Reporting Period:
- 2022-04-11
- Accepted Time:
- 2022-04-13 06:00:14
- 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2022-04-11 | 1,048,005 | $0.00 | 1,079,255 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2022-04-11 | 1,048,005 | $14.79 | 31,250 | 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 A Common Stock | Class B Common Stock | Disposition | 2022-04-11 | 1,048,005 | $0.00 | 1,048,005 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 27,376,938 | No | 4 | C | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | $0.00 | 8,129,863 | 8,129,863 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 13,106,677 | 13,106,677 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 2,791,081 | 2,791,081 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 500,000 | 500,000 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 8,129,863 | 8,129,863 | Indirect | |
| 13,106,677 | 13,106,677 | Indirect | |
| 2,791,081 | 2,791,081 | Indirect | |
| 500,000 | 500,000 | Indirect |
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 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.
- The shares are being sold pursuant to a stock purchase agreement entered into as of April 11, 2022 relating to the purchase and sale of shares of Class B common stock of the Issuer. Pursuant to the Issuer's certificate of incorporation, each such share of Class B common stock of the Issuer will automatically convert into one share of Class A common stock when transferred in such transaction. Under the stock purchase agreement, there are limited conditions to the closing, which, if satisfied, will occur on a date to be mutually agreed by the parties thereto.
- 374,239 shares were transferred from the RT 2019 Grantor Retained Annuity Trust to the Reporting Person. This represents the number of shares held after the transfer. The transfer was a change in the form of beneficial ownership and was exempt from reporting pursuant to Rule 16a-13.
- The securities are held by Thomas 2014 Family Trust (the "2014 Trust"). The Reporting Person is a trustee of the 2014 Trust.
- The securities are held by Thomas Family 2017 Irrevocable Trust (the "2017 Trust"). The Reporting Person is a trustee of the 2017 Trust.
- The securities are held by RT 2019 Grantor Retained Annuity Trust (the "2019 Trust"). The Reporting Person is a trustee of the 2019 Trust.
- The securities are held by Neelu Paul, Trustee of the RT 2021 Grantor Retained Annuity Trust, dated June 8, 2021 (the "2021 Trust"). The Reporting Person is a trustee of the 2021 Trust.
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