0001209191-22-050153.txt : 20220915
0001209191-22-050153.hdr.sgml : 20220915
20220915181753
ACCESSION NUMBER: 0001209191-22-050153
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220913
FILED AS OF DATE: 20220915
DATE AS OF CHANGE: 20220915
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Haley Daniel P
CENTRAL INDEX KEY: 0001653709
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40528
FILM NUMBER: 221246646
MAIL ADDRESS:
STREET 1: 311 ARSENAL STREET
CITY: WATERTOWN
STATE: MA
ZIP: 02472
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
2022-09-13
0
0001569345
Sprinklr, Inc.
CXM
0001653709
Haley Daniel P
C/O SPRINKLR, INC.
29 WEST 35TH STREET, 7TH FLOOR
NEW YORK
NY
10001
0
1
0
0
General Counsel and Corp. Sec.
Class A Common Stock
2022-09-13
4
C
0
1000
A
101000
D
Class A Common Stock
2022-09-14
4
S
0
519
11.37
D
100481
D
Class A Common Stock
2022-09-15
4
C
0
40000
A
140481
D
Class A Common Stock
2022-09-15
4
S
0
40481
10.66
D
100000
D
Class B Common Stock
2022-09-13
4
C
0
1000
0.00
D
Class A Common Stock
1000
142291
D
Employee Stock Option (right to buy)
4.25
2022-09-15
4
M
0
40000
0.00
D
2029-09-04
Class B Common Stock
40000
325083
D
Class B Common Stock
2022-09-15
4
M
0
40000
4.25
A
Class A Common Stock
40000
182291
D
Class B Common Stock
2022-09-15
4
C
0
40000
0.00
D
Class A Common Stock
40000
142291
D
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, 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 $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.
This exercise and subsequent sales were made pursuant to a Rule 10b5-1 trading plan adopted 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 $10.35 to $10.85, 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.
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.
/s/ Jason Minio, Attorney-in-Fact
2022-09-15