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Sprinklr, Inc. — Director's Dealing 2023
Jul 26, 2023
31717_dirs_2023-07-26_4d88bfe0-5e19-4148-881c-e0be7562611f.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: 2023-07-25
Reporting Person: Ohls Paul (Chief Revenue Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-07-25 | Class A Common Stock | C | 23351 | — | Acquired | 753733 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-07-25 | Employee Stock Option (right to buy) | $4.10 | M | 10560 | Disposed | 2028-08-14 | Class B Common Stock (10560) | Direct |
| 2023-07-25 | Class B Common Stock | $ | M | 10560 | Acquired | Class A Common Stock (10560) | Direct | |
| 2023-07-25 | Employee Stock Option (right to buy) | $4.25 | M | 1085 | Disposed | 2029-05-15 | Class B Common Stock (1085) | Direct |
| 2023-07-25 | Class B Common Stock | $ | M | 1085 | Acquired | Class A Common Stock (1085) | Direct | |
| 2023-07-25 | Employee Stock Option (right to buy) | $4.45 | M | 11706 | Disposed | 2029-12-10 | Class B Common Stock (11706) | Direct |
| 2023-07-25 | Class B Common Stock | $ | M | 11706 | Acquired | Class A Common Stock (11706) | Direct | |
| 2023-07-25 | Class B Common Stock | $ | C | 23351 | Disposed | Class A Common Stock (23351) | 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: Fully vested and exercisable.
F3: One fourth (1/4th) of the shares subject to the option award vested on December 10, 2020, 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.