Sprinklr, Inc. — Director's Dealing 2021

Jun 30, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Sprinklr, Inc. (CXM)
CIK: 0001569345
Period of Report: 2021-06-25

Reporting Person: Lee Roger H (10% Owner)
Reporting Person: BROWN MICHAEL MAURICE (10% Owner)
Reporting Person: Feldman Jesse (10% Owner)
Reporting Person: FLEISCHER RUSSELL L (10% Owner)
Reporting Person: Stoner Chelsea R. (10% Owner)
Reporting Person: Elhafed Morad (10% Owner)
Reporting Person: Parnafes Itzik (10% Owner)
Reporting Person: Thakker Dharmesh (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-06-25	Common Stock	C	41041031	—	Acquired	41070734	Indirect
2021-06-25	Common Stock	C	410373	—	Acquired	410670	Indirect
2021-06-25	Common Stock	C	1545044	—	Acquired	2407137	Indirect
2021-06-25	Common Stock	C	152806	—	Acquired	238068	Indirect
2021-06-25	Common Stock	J	41070734	—	Disposed	0	Indirect
2021-06-25	Common Stock	J	410670	—	Disposed	0	Indirect
2021-06-25	Common Stock	J	2407137	—	Disposed	0	Indirect
2021-06-25	Common Stock	J	238068	—	Disposed	0	Indirect
2021-06-25	Class A Common Stock	P	977095	$16.00	Acquired	977095	Indirect
2021-06-25	Class A Common Stock	P	96636	$16.00	Acquired	96636	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-06-25	Series A Preferred Stock	$	C	19846041	Disposed		Common Stock (19846041)	Indirect
2021-06-25	Series A Preferred Stock	$	C	198440	Disposed		Common Stock (198440)	Indirect
2021-06-25	Series B Preferred Stock	$	C	14321250	Disposed		Common Stock (14321250)	Indirect
2021-06-25	Series B Preferred Stock	$	C	143199	Disposed		Common Stock (143199)	Indirect
2021-06-25	Series C Preferred Stock	$	C	6473307	Disposed		Common Stock (6473307)	Indirect
2021-06-25	Series C Preferred Stock	$	C	64728	Disposed		Common Stock (64728)	Indirect
2021-06-25	Series D Preferred Stock	$	C	287166	Disposed		Common Stock (287166)	Indirect
2021-06-25	Series D Preferred Stock	$	C	2871	Disposed		Common Stock (2871)	Indirect
2021-06-25	Series D-2 Preferred Stock	$	C	91707	Disposed		Common Stock (91707)	Indirect
2021-06-25	Series D-2 Preferred Stock	$	C	918	Disposed		Common Stock (918)	Indirect
2021-06-25	Series E-1 Preferred Stock	$	C	14289	Disposed		Common Stock (14289)	Indirect
2021-06-25	Series E-1 Preferred Stock	$	C	144	Disposed		Common Stock (144)	Indirect
2021-06-25	Series E-1 Preferred Stock	$	C	78340	Disposed		Common Stock (78340)	Indirect
2021-06-25	Series E-1 Preferred Stock	$	C	7748	Disposed		Common Stock (7748)	Indirect
2021-06-25	Series E-2 Preferred Stock	$	C	1773	Disposed		Common Stock (1773)	Indirect
2021-06-25	Series E-2 Preferred Stock	$	C	18	Disposed		Common Stock (18)	Indirect
2021-06-25	Series E-2 Preferred Stock	$	C	30499	Disposed		Common Stock (30499)	Indirect
2021-06-25	Series E-2 Preferred Stock	$	C	3016	Disposed		Common Stock (3016)	Indirect
2021-06-25	Series F Preferred Stock	$	C	5498	Disposed		Common Stock (5498)	Indirect
2021-06-25	Series F Preferred Stock	$	C	55	Disposed		Common Stock (55)	Indirect
2021-06-25	Series F Preferred Stock	$	C	1436205	Disposed		Common Stock (1436205)	Indirect
2021-06-25	Series F Preferred Stock	$	C	142042	Disposed		Common Stock (142042)	Indirect
2021-06-25	Class B Common Stock	$	J	41070734	Acquired		Class A Common Stock (41070734)	Indirect
2021-06-25	Class B Common Stock	$	J	410670	Acquired		Class A Common Stock (410670)	Indirect
2021-06-25	Class B Common Stock	$	J	2407137	Acquired		Class A Common Stock (2407137)	Indirect
2021-06-25	Class B Common Stock	$	J	238068	Acquired		Class A Common Stock (238068)	Indirect

Footnotes

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C 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 shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F2: The reported securities are owned directly by Battery Ventures IX, L.P. ("BV IX"). The sole general partner of BV IX is Battery Partners IX, LLC ("BP IX"). BP IX's investment adviser is Battery Management Corp. Neeraj Agrawal, Michael Brown, Jesse Feldman, Roger Lee, R. David Tabors and Scott Tobin are the managing members of BP IX and may be deemed to share voting and dispositive power over the securities held by BV IX. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose.

F3: The reported securities are owned directly by Battery Investment Partners IX, LLC ("BIP IX"). The sole managing member of BIP IX is BP IX. BP IX's investment adviser is Battery Management Corp. Neeraj Agrawal, Michael Brown, Jesse Feldman, Roger Lee, R. David Tabors and Scott Tobin are the managing members of BP IX and may be deemed to share voting and dispositive power over the securities held by BIP IX. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose.

F4: The reported securities are owned directly by Battery Ventures Select Fund I, L.P. ("BV Sel I"). The sole general partner of BV Sel I is Battery Partners Select Fund I, L.P. ("BP Sel I"). The general partner of BP Sel I is Battery Partners Select Fund I GP, LLC ("BP Sel I GP"). BP Sel I GP's investment adviser is Battery Management Corp. Neeraj Agrawal, Michael Brown, Morad Elhafed, Jesse Feldman, Russell Fleischer, Roger Lee, Itzik Parnafes, Chelsea Stoner, Dharmesh Thakker, R. David Tabors and Scott Tobin are the managing members of BP Sel I GP and may be deemed to share voting and dispositive power over the securities held by BV Sel I. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose.

F5: The reported securities are owned directly by Battery Investment Partners Select Fund I, L.P. ("BIP Sel I"). The sole general partner of BIP Sel I is BP Sel I GP. BP Sel I GP's investment adviser is Battery Management Corp. Neeraj Agrawal, Michael Brown, Morad Elhafed, Jesse Feldman, Russell Fleischer, Roger Lee, Itzik Parnafes, Chelsea Stoner, Dharmesh Thakker, R. David Tabors and Scott Tobin are the managing members and officers of BP Sel I GP and may be deemed to share voting and dispositive power over the securities held by BIP Sel I. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his, her or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose.

F6: 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.

F7: 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.