0001209191-21-043856.txt : 20210629
0001209191-21-043856.hdr.sgml : 20210629
20210629205834
ACCESSION NUMBER: 0001209191-21-043856
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210625
FILED AS OF DATE: 20210629
DATE AS OF CHANGE: 20210629
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Adams Diane
CENTRAL INDEX KEY: 0001475901
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40528
FILM NUMBER: 211060016
MAIL ADDRESS:
STREET 1: 222 MERCHANDISE MART PLAZA
STREET 2: SUITE 2024
CITY: CHICAGO
STATE: IL
ZIP: 60654
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
2021-06-25
0
0001569345
Sprinklr, Inc.
CXM
0001475901
Adams Diane
C/O SPRINKLR, INC.
29 WEST 35TH STREET , 7TH FLOOR
NEW YORK
NY
10001
0
1
0
0
Chief Culture & Talent Officer
Common Stock
2021-06-25
4
J
0
152436
D
0
D
Class B Common Stock
2021-06-25
4
J
0
152436
0.00
A
Class A Common Stock
152436
152436
D
Employee Stock Option (right to buy)
3.99
2021-06-25
4
J
0
208333
0.00
D
2028-05-09
Common Stock
208333
0
D
Employee Stock Option (right to buy)
3.99
2021-06-25
4
J
0
208333
0.00
A
2028-05-09
Class B Common Stock
208333
208333
D
Employee Stock Option (right to buy)
4.25
2021-06-25
4
J
0
85938
0.00
D
2029-03-18
Common Stock
85938
0
D
Employee Stock Option (right to buy)
4.25
2021-06-25
4
J
0
85938
0.00
A
2029-03-18
Class B Common Stock
85938
85938
D
Employee Stock Option (right to buy)
4.93
2021-06-25
4
J
0
275000
0.00
D
2030-03-11
Common Stock
275000
0
D
Employee Stock Option (right to buy)
4.93
2021-06-25
4
J
0
275000
0.00
A
2030-03-11
Class B Common Stock
275000
275000
D
Employee Stock Option (right to buy)
7.68
2021-06-25
4
J
0
200000
0.00
D
2031-01-28
Common Stock
200000
0
D
Employee Stock Option (right to buy)
7.68
2021-06-25
4
J
0
200000
0.00
A
2031-01-28
Class B Common Stock
200000
200000
D
Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
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.
One fourth (1/4th) of the shares subject to the option award vested on April 2, 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.
One fourth (1/4th) of the shares subject to the option award vested on May 1, 2020, 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.
One fourth (1/4th) of the shares subject to the option award vested on March 11, 2021, 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.
One fifth (1/5th) of the shares subject to the option award shall vest on January 28, 2022, and one sixtieth (1/60th) of the shares subject to the option award shall vest on the first day of each month thereafter, subject to the Reporting Person's continuous service.
/s/ Jason Minio, Attorney-in-Fact
2021-06-29