Filing Details
- Accession Number:
- 0001209191-22-024373
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-04-13 21:11:30
- Reporting Period:
- 2022-04-11
- Accepted Time:
- 2022-04-13 21:11:30
- 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 |
|---|---|---|---|---|---|---|---|
| 1653709 | P Daniel Haley | C/O Sprinklr, Inc. 29 West 35Th Street, 7Th Floor New York NY 10001 | General Counsel And Corp. Sec. | 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 | 2022-04-11 | 100,000 | $0.00 | 100,000 | No | 4 | A | Direct | |
| Class A Common Stock | Acquisiton | 2022-04-11 | 4,000 | $0.00 | 104,000 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2022-04-12 | 1,237 | $13.79 | 102,763 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2022-04-13 | 72,917 | $0.00 | 175,680 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2022-04-13 | 72,917 | $13.85 | 102,763 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | C | Direct | |
| No | 4 | S | Direct | |
| 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 | 4,000 | $0.00 | 4,000 | $0.00 |
| Class B Common Stock | Employee Stock Option (right to buy) | Disposition | 2022-04-13 | 72,917 | $0.00 | 72,917 | $4.25 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2022-04-13 | 72,917 | $4.25 | 72,917 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2022-04-13 | 72,917 | $0.00 | 72,917 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 144,291 | No | 4 | C | Direct | ||
| 427,083 | 2029-09-04 | No | 4 | M | Direct | |
| 217,208 | No | 4 | M | Direct | ||
| 144,291 | No | 4 | C | Direct |
Footnotes
- Represents a restricted stock unit ("RSU") award. One-fourth (1/4th) of the RSUs shall vest on March 15, 2023, and one-twelfth (1/12th) of the remaining RSUs shall vest on each subsequent June 15, September 15, December 15 and March 15 thereafter, subject to the Reporting Person's continuous service to the Issuer on each such vesting 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 thefollowing: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended andrestated certificate of incorporation; (2) the death of the Reporting Person; and (3) the final conversion date, defined as the first trading day on orafter 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 andClass B Common Stock, subject to certain timing criteria.
- Represents the number of shares required to be sold to cover the statutory tax withholding obligations in connection with the vesting of the RSUs. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of minimum statutory tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary sale by the Reporting Person.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.45 to $14.15 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (4) and (5).
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.65 to $14.11 inclusive.
- One fourth (1/4th) of the shares subject to the option award vested on September 3, 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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