0001209191-21-066794.txt : 20211124 0001209191-21-066794.hdr.sgml : 20211124 20211124162506 ACCESSION NUMBER: 0001209191-21-066794 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211122 FILED AS OF DATE: 20211124 DATE AS OF CHANGE: 20211124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FLEISCHER RUSSELL L CENTRAL INDEX KEY: 0001108424 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40528 FILM NUMBER: 211447123 MAIL ADDRESS: STREET 1: 2180 RUTHERFORD ROAD CITY: CARLSBAD STATE: CA ZIP: 92008 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROWN MICHAEL MAURICE CENTRAL INDEX KEY: 0001354614 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40528 FILM NUMBER: 211447125 MAIL ADDRESS: STREET 1: ONE MARINA PARK DRIVE STREET 2: SUITE 1100 CITY: BOSTON STATE: MA ZIP: 02210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lee Roger H CENTRAL INDEX KEY: 0001404868 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40528 FILM NUMBER: 211447126 MAIL ADDRESS: STREET 1: ONE MARINA PARK DRIVE STREET 2: SUITE 1100 CITY: BOSTON STATE: MA ZIP: 02210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thakker Dharmesh CENTRAL INDEX KEY: 0001869544 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40528 FILM NUMBER: 211447120 MAIL ADDRESS: STREET 1: ONE MARINA PARK DRIVE, SUITE 1100 CITY: BOSTON STATE: MA ZIP: 02210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Feldman Jesse CENTRAL INDEX KEY: 0001568322 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40528 FILM NUMBER: 211447124 MAIL ADDRESS: STREET 1: ONE MARINA PARK DRIVE STREET 2: SUITE 1100 CITY: BOSTON STATE: MA ZIP: 02210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stoner Chelsea R. CENTRAL INDEX KEY: 0001741527 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40528 FILM NUMBER: 211447122 MAIL ADDRESS: STREET 1: C/O AVALARA, INC. STREET 2: 255 SOUTH KING ST., SUITE 1800 CITY: SEATTLE STATE: WA ZIP: 98104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Elhafed Morad CENTRAL INDEX KEY: 0001869518 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40528 FILM NUMBER: 211447121 MAIL ADDRESS: STREET 1: ONE MARINA PARK DRIVE, SUITE 1100 CITY: BOSTON STATE: MA ZIP: 02210 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sprinklr, Inc. CENTRAL INDEX KEY: 0001569345 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 454771485 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 29 WEST 35TH STREET STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10001 BUSINESS PHONE: (917) 933-7800 MAIL ADDRESS: STREET 1: 29 WEST 35TH STREET STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10001 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-11-22 0 0001569345 Sprinklr, Inc. CXM 0001404868 Lee Roger H C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON MA 02210 0 0 1 0 0001354614 BROWN MICHAEL MAURICE C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON MA 02210 0 0 1 0 0001568322 Feldman Jesse C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON MA 02210 0 0 1 0 0001108424 FLEISCHER RUSSELL L C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON MA 02210 0 0 1 0 0001741527 Stoner Chelsea R. C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON MA 02210 0 0 1 0 0001869518 Elhafed Morad C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON MA 02210 0 0 1 0 0001869544 Thakker Dharmesh C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON MA 02210 0 0 1 0 Class A Common Stock 2021-11-22 4 C 0 20535367 A 20535367 I By Battery Ventures IX, L.P. Class A Common Stock 2021-11-22 4 C 0 205335 A 205335 I By Battery Investment Partners IX, LLC Class A Common Stock 2021-11-22 4 C 0 1203569 A 2180664 I By Battery Ventures Select Fund I, L.P Class A Common Stock 2021-11-22 4 C 0 119034 A 215670 I By Battery Investment Partners Select Fund I, L.P. Class B Common Stock 2021-11-22 4 C 0 20535367 0.00 D Class A Common Stock 20535367 20535367 I By Battery Ventures IX, L.P. Class B Common Stock 2021-11-22 4 C 0 205335 0.00 D Class A Common Stock 205335 205335 I By Battery Investment Partners IX, LLC Class B Common Stock 2021-11-22 4 C 0 1203569 0.00 D Class A Common Stock 1203569 1203568 I By Battery Ventures Select Fund I, L.P Class B Common Stock 2021-11-22 4 C 0 119034 0.00 D Class A Common Stock 119034 119034 I By Battery Investment Partners Select Fund I, L.P. These shares of Class B common stock were converted on a one-for-one basis into Class A common stock. The reported securities are owned directly by Battery Ventures IX, L.P. ("BV IX"). The sole general partner of BV IX is Battery Partners IX, LLC ("BP IX"). BP IX's investment adviser is Battery Management Corp. Neeraj Agrawal, Michael Brown, Jesse Feldman, Roger Lee, R. David Tabors and Scott Tobin are the managing members of BP IX and may be deemed to share voting and dispositive power over the securities held by BV IX. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. The reported securities are owned directly by Battery Investment Partners IX, LLC ("BIP IX"). The sole managing member of BIP IX is BP IX. BP IX's investment adviser is Battery Management Corp. Neeraj Agrawal, Michael Brown, Jesse Feldman, Roger Lee, R. David Tabors and Scott Tobin are the managing members of BP IX and may be deemed to share voting and dispositive power over the securities held by BIP IX. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. The reported securities are owned directly by Battery Ventures Select Fund I, L.P. ("BV Sel I"). The sole general partner of BV Sel I is Battery Partners Select Fund I, L.P. ("BP Sel I"). The general partner of BP Sel I is Battery Partners Select Fund I GP, LLC ("BP Sel I GP"). BP Sel I GP's investment adviser is Battery Management Corp. Neeraj Agrawal, Michael Brown, Morad Elhafed, Jesse Feldman, Russell Fleischer, Roger Lee, Chelsea Stoner, Dharmesh Thakker, R. David Tabors and Scott Tobin are the managing members of BP Sel I GP and may be deemed to share voting and dispositive power over the securities held by BV Sel I. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. The reported securities are owned directly by Battery Investment Partners Select Fund I, L.P. ("BIP Sel I"). The sole general partner of BIP Sel I is BP Sel I GP. BP Sel I GP's investment adviser is Battery Management Corp. Neeraj Agrawal, Michael Brown, Morad Elhafed, Jesse Feldman, Russell Fleischer, Roger Lee, Chelsea Stoner, Dharmesh Thakker, R. David Tabors and Scott Tobin are the managing members and officers of BP Sel I GP and may be deemed to share voting and dispositive power over the securities held by BIP Sel I. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. 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. 1 of 2: The number of joint filers exceeds the EDGAR maximum of 10 joint filers per Form. This Form 4 is being filed in conjunction with a Form 4 being filed by Battery Ventures IX, L.P. and other filing persons. /s/ Christopher Schiavo, as Attorney-in-Fact for Battery Ventures IX, L.P. 2021-11-24 /s/ Michael M. Brown 2021-11-24 /s/ Jesse Feldman 2021-11-24 /s/ Russell L. Fleischer 2021-11-24 /s/ Chelsea R. Stoner 2021-11-24 /s/ Morad Elhafed 2021-11-24 /s/ Dharmesh Thakker 2021-11-24