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