0001209191-21-043870.txt : 20210629
0001209191-21-043870.hdr.sgml : 20210629
20210629211344
ACCESSION NUMBER: 0001209191-21-043870
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: Griffith William J.G.
CENTRAL INDEX KEY: 0001688124
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40528
FILM NUMBER: 211060125
MAIL ADDRESS:
STREET 1: 21300 VICTORY BLVD.
STREET 2: 12TH FLOOR
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ICONIQ Strategic Partners, L.P.
CENTRAL INDEX KEY: 0001575779
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40528
FILM NUMBER: 211060131
BUSINESS ADDRESS:
STREET 1: 394 PACIFIC AVE.
STREET 2: 2ND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-967-7485
MAIL ADDRESS:
STREET 1: 394 PACIFIC AVE.
STREET 2: 2ND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER NAME:
FORMER CONFORMED NAME: ICONIQ Strategic Partners, l.P.
DATE OF NAME CHANGE: 20130501
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ICONIQ Strategic Partners-B, L.P.
CENTRAL INDEX KEY: 0001584545
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40528
FILM NUMBER: 211060130
BUSINESS ADDRESS:
STREET 1: 394 PACIFIC AVENUE
STREET 2: SECOND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-675-8074
MAIL ADDRESS:
STREET 1: 394 PACIFIC AVENUE
STREET 2: SECOND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ICONIQ STRATEGIC PARTNERS II-B, L.P.
CENTRAL INDEX KEY: 0001619682
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40528
FILM NUMBER: 211060132
BUSINESS ADDRESS:
STREET 1: 394 PACIFIC AVENUE, SECOND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94118
BUSINESS PHONE: 415-967-7757
MAIL ADDRESS:
STREET 1: 394 PACIFIC AVENUE, SECOND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94118
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ICONIQ STRATEGIC PARTNERS II, L.P.
CENTRAL INDEX KEY: 0001619710
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40528
FILM NUMBER: 211060133
BUSINESS ADDRESS:
STREET 1: 394 PACIFIC AVENUE, SECOND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94118
BUSINESS PHONE: 415-967-7757
MAIL ADDRESS:
STREET 1: 394 PACIFIC AVENUE, SECOND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94118
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ICONIQ Strategic Partners II GP, L.P.
CENTRAL INDEX KEY: 0001702932
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40528
FILM NUMBER: 211060129
BUSINESS ADDRESS:
STREET 1: 394 PACIFIC AVENUE 2ND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4159677763
MAIL ADDRESS:
STREET 1: 394 PACIFIC AVENUE 2ND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Makan Divesh
CENTRAL INDEX KEY: 0001688143
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40528
FILM NUMBER: 211060124
MAIL ADDRESS:
STREET 1: C/O ICONIQ CAPITAL
STREET 2: 394 PACIFIC AVENUE, 2ND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ICONIQ Strategic Partners TT GP, Ltd.
CENTRAL INDEX KEY: 0001688389
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40528
FILM NUMBER: 211060126
BUSINESS ADDRESS:
STREET 1: 394 PACIFIC AVENUE, 2ND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-967-7763
MAIL ADDRESS:
STREET 1: 394 PACIFIC AVENUE, 2ND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ICONIQ Strategic Partners GP, L.P.
CENTRAL INDEX KEY: 0001688390
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40528
FILM NUMBER: 211060127
BUSINESS ADDRESS:
STREET 1: 394 PACIFIC AVENUE, 2ND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-967-7763
MAIL ADDRESS:
STREET 1: 394 PACIFIC AVENUE, 2ND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ICONIQ Strategic Partners II TT GP, Ltd
CENTRAL INDEX KEY: 0001702831
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40528
FILM NUMBER: 211060128
BUSINESS ADDRESS:
STREET 1: 394 PACIFIC AVENUE 2ND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4159677763
MAIL ADDRESS:
STREET 1: 394 PACIFIC AVENUE 2ND FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
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
0001619710
ICONIQ STRATEGIC PARTNERS II, L.P.
C/O ICONIQ CAPITAL
394 PACIFIC AVENUE, 2ND FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001619682
ICONIQ STRATEGIC PARTNERS II-B, L.P.
C/O ICONIQ CAPITAL
394 PACIFIC AVENUE, 2ND FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001575779
ICONIQ Strategic Partners, L.P.
C/O ICONIQ CAPITAL
394 PACIFIC AVENUE, 2ND FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001584545
ICONIQ Strategic Partners-B, L.P.
C/O ICONIQ CAPITAL
394 PACIFIC AVENUE, 2ND FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001702932
ICONIQ Strategic Partners II GP, L.P.
C/O ICONIQ CAPITAL
394 PACIFIC AVENUE, 2ND FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001702831
ICONIQ Strategic Partners II TT GP, Ltd
C/O ICONIQ CAPITAL
394 PACIFIC AVENUE, 2ND FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001688390
ICONIQ Strategic Partners GP, L.P.
C/O ICONIQ CAPITAL
394 PACIFIC AVENUE, 2ND FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001688389
ICONIQ Strategic Partners TT GP, Ltd.
C/O ICONIQ CAPITAL
394 PACIFIC AVENUE, 2ND FLOOR
SAN FRANCISCO
MA
94111
0
0
1
0
0001688124
Griffith William J.G.
C/O ICONIQ CAPITAL
394 PACIFIC AVENUE, 2ND FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001688143
Makan Divesh
C/O ICONIQ CAPITAL
394 PACIFIC AVENUE, 2ND FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
Common Stock
2021-06-25
5
J
0
E
758821
0.00
D
0
D
Common Stock
2021-06-25
5
J
0
E
594020
0.00
D
0
I
By ICONIQ Strategic Partners II-B, L.P.
Class A Common Stock
2021-06-25
4
P
0
157720
16.00
A
157720
D
Class A Common Stock
2021-06-25
4
P
0
123462
16.00
A
123462
I
By ICONIQ Strategic Partners II-B, L.P.
Class A Common Stock
2021-06-25
4
P
0
260065
16.00
A
260065
I
By ICONIQ Strategic Partners, L.P.
Class A Common Stock
2021-06-25
4
P
0
65271
16.00
A
65271
I
ICONIQ Strategic Partners-B, L.P.
Common Stock
2021-06-25
4
C
0
5722898
0.00
A
6481719
D
Common Stock
2021-06-25
4
C
0
4479873
0.00
A
5073893
I
By ICONIQ Strategic Partners II-B, L.P.
Common Stock
2021-06-25
4
C
0
10687749
0.00
A
10687749
I
By ICONIQ Strategic Partners, L.P.
Common Stock
2021-06-25
4
C
0
2682411
0.00
A
2682411
I
ICONIQ Strategic Partners-B, L.P.
Common Stock
2021-06-25
5
J
0
E
6481719
0.00
D
0
D
Common Stock
2021-06-25
5
J
0
E
5073893
0.00
D
0
I
By ICONIQ Strategic Partners II-B, L.P.
Common Stock
2021-06-25
5
J
0
E
10687749
0.00
D
0
I
By ICONIQ Strategic Partners, L.P.
Common Stock
2021-06-25
5
J
0
E
2682411
0.00
D
0
I
ICONIQ Strategic Partners-B, L.P.
Series B Preferred Stock
2021-06-25
4
C
0
2309168
0.00
D
Common Stock
2309168
0
D
Series B Preferred Stock
2021-06-25
4
C
0
1807612
0.00
D
Common Stock
1807612
0
I
By ICONIQ Strategic Partners II-B, L.P.
Series D Preferred Stock
2021-06-25
4
C
0
9418425
0.00
D
Common Stock
9418425
0
I
By ICONIQ Strategic Partners, L.P.
Series D Preferred Stock
2021-06-25
4
C
0
2363838
0.00
D
Common Stock
2363838
0
I
ICONIQ Strategic Partners-B, L.P.
Series D-2 Preferred Stock
2021-06-25
4
C
0
2164349
0.00
D
Common Stock
2164349
0
D
Series D-2 Preferred Stock
2021-06-25
4
C
0
1694248
0.00
D
Common Stock
1694248
0
I
By ICONIQ Strategic Partners II-B, L.P.
Series D-2 Preferred Stock
2021-06-25
4
C
0
1269324
0.00
D
Common Stock
1269324
0
I
By ICONIQ Strategic Partners, L.P.
Series D-2 Preferred Stock
2021-06-25
4
C
0
318573
0.00
D
Common Stock
318573
0
I
By ICONIQ Strategic Partners-B, L.P.
Series E-1 Preferred Stock
2021-06-25
4
C
0
429327
0.00
D
Common Stock
429327
0
D
Series E-1 Preferred Stock
2021-06-25
4
C
0
336077
0.00
D
Common Stock
336077
0
I
By ICONIQ Strategic Partners II-B, L.P.
Series E-2 Preferred Stock
2021-06-25
4
C
0
59823
0.00
D
Common Stock
59823
0
D
Series E-2 Preferred Stock
2021-06-25
4
C
0
46829
0.00
D
Common Stock
46829
0
I
By ICONIQ Strategic Partners II-B, L.P.
Series F Preferred Stock
2021-06-25
4
C
0
760231
0.00
D
Common Stock
760231
0
D
Series F Preferred Stock
2021-06-25
4
C
0
595107
0.00
D
Common Stock
595107
0
I
By ICONIQ Strategic Partners II-B, L.P.
Class B Common Stock
2021-06-25
4
J
0
6481719
0.00
A
Class A Common Stock
6481719
6481719
D
Class B Common Stock
2021-06-25
4
J
0
5073893
0.00
A
Class A Common Stock
5073893
5073893
I
By ICONIQ Strategic Partners II-B, L.P.
Class B Common Stock
2021-06-25
4
J
0
10687749
0.00
A
Class A Common Stock
10687749
10687749
I
By ICONIQ Strategic Partners, L.P.
Class B Common Stock
2021-06-25
4
J
0
2682411
0.00
A
Class A Common Stock
2682411
2682411
I
ICONIQ Strategic Partners-B, L.P.
Immediately prior to the closing of the Issuer's initial public offering and following the conversion of the preferred stock referenced in note 8 below, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
ICONIQ Strategic Partners II GP, L.P. ("ICONIQ GP II"), is the sole general partner of ICONIQ II-B and ICONIQ II. ICONIQ Strategic Partners II TT GP, Ltd. ("ICONIQ Parent GP II") is the sole general partner of ICONIQ GP II. ICONIQ Strategic Partners GP, L.P. ("ICONIQ GP") is the sole general partner of ICONIQ and ICONIQ-B. ICONIQ Strategic Partners TT GP, Ltd. ("ICONIQ Parent GP") is the sole general partner of ICONIQ GP. Divesh Makan ("Makan") and William J.G. Griffith ("Griffith") are the sole equity holders of each of ICONIQ Parent GP II and ICONIQ Parent GP.
The shares are held by ICONIQ Strategic Partners II, L.P. ("ICONIQ II").
Each of ICONIQ II GP, ICONIQ Parent GP II, ICONIQ GP, ICONIQ Parent GP, Makan and Griffith disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
The shares are held by ICONIQ Strategic Partners II-B, L.P. ("ICONIQ II-B").
The shares are held by ICONIQ Strategic Partners, L.P. ("ICONIQ").
The shares are held by ICONIQ Strategic Partners-B, L.P. ("ICONIQ-B").
Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock, Series D Preferred Stock, Series D-2 Preferred Stock, Series E-1 Preferred Stock, Series E-2 Preferred Stock and Series F Preferred Stock automatically converted into Common Stock on a 1:1 basis. The preferred stock had no expiration 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 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.
ICONIQ Strategic Partners II, L.P., By: ICONIQ Strategic Partners II GP, L.P., By: ICONIQ Strategic Partners II TT GP, Ltd., By: Kevin Foster, Title: Authorized Signatory, /s/ Kevin Foster
2021-06-29
ICONIQ Strategic Partners II-B, L.P., By: ICONIQ Strategic Partners II GP, L.P., By: ICONIQ Strategic Partners II TT GP, Ltd., By: Kevin Foster, Title: Authorized Signatory, /s/ Kevin Foster
2021-06-29
ICONIQ Strategic Partners GP, L.P., by ICONIQ Strategic Partner TT GP, Ltd., its general partner, by Kevin Foster, its Senior Vice President, /s/ Kevin Foster
2021-06-29
ICONIQ Strategic Partners-B, L.P., by ICONIQ Strategic Partners GP, L.P., its general partner, by ICONIQ Strategic Partners TT GP, Ltd., its general partner, by Kevin Foster, its Senior Vice President /s/ Kevin Foster
2021-06-29
ICONIQ Strategic Partners II GP, L.P., ICONIQ Strategic Partners II TT GP, Ltd., By: Kevin Foster, Title: Authorized Signatory, /s/ Kevin Foster
2021-06-29
ICONIQ Strategic Partners II TT GP, Ltd., By: Kevin Foster, Title: Authorized Signatory, /s/ Kevin Foster
2021-06-29
ICONIQ Strategic Partners GP, L.P., by ICONIQ Strategic Partners TT GP, Ltd., its general partner, by Kevin Foster, its Senior Vice President, /s/ Kevin Foster
2021-06-29
ICONIQ Strategic Partners TT GP, Ltd., by Kevin Foster, its Senior Vice President, /s/ Kevin Foster
2021-06-29
/s/ William J.G. Griffith
2021-06-29
/s/ Divesh Makan
2021-06-29