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Sprinklr, Inc. — Director's Dealing 2021
Nov 24, 2021
31717_dirs_2021-11-23_2556ddf1-92a2-4ca6-9c28-ac45bff7dac0.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Sprinklr, Inc. (CXM)
CIK: 0001569345
Period of Report: 2021-11-22
Reporting Person: Lynch Christopher Mark (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-22 | Class A Common Stock | C | 26809 | — | Acquired | 556777 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-22 | Employee Stock Option (right to buy) | $3.73 | M | 26809 | Disposed | 2028-02-07 | Class B Common Stock (26809) | Direct |
| 2021-11-22 | Class B Common Stock | $ | M | 26809 | Acquired | Class A Common Stock (26809) | Direct | |
| 2021-11-22 | Class B Common Stock | $ | C | 26809 | Disposed | Class A Common Stock (26809) | Direct |
Footnotes
F1: 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.
F2: One fourth (1/4th) of the shares subject to the option award vested on February 7, 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.