Filing Details

Accession Number:
0001209191-22-050155
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-09-15 18:20:46
Reporting Period:
2022-09-13
Accepted Time:
2022-09-15 18:20:46
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
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 2022-09-13 3,000 $0.00 546,565 No 4 C Direct
Class A Common Stock Disposition 2022-09-14 1,263 $11.37 545,302 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 2022-09-13 3,000 $0.00 3,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
28,405,885 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 $0.00 185,053 185,053 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
185,053 185,053 Indirect
Footnotes
  1. 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.
  2. 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.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.29 to $11.43 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 range set forth in this footnote.
  4. 314,947 shares were transferred from the Neelu Paul, Trustee of the RT 2021 Grantor Retained Annuity Trust, dated June 8, 2021 (the "2021 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.
  5. The securities are held by Thomas 2014 Family Trust (the "2014 Trust"). The Reporting Person is a trustee of the 2014 Trust.
  6. The securities are held by Thomas Family 2017 Irrevocable Trust (the "2017 Trust"). The Reporting Person is a trustee of the 2017 Trust.
  7. The securities are held by RT 2019 Grantor Retained Annuity Trust (the "2019 Trust"). The Reporting Person is a trustee of the 2019 Trust.
  8. The securities are held by the 2021 Trust. The Reporting Person is a trustee of the 2021 Trust.