0001209191-23-052976.txt : 20231017 0001209191-23-052976.hdr.sgml : 20231017 20231017170341 ACCESSION NUMBER: 0001209191-23-052976 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231013 FILED AS OF DATE: 20231017 DATE AS OF CHANGE: 20231017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Adams Diane CENTRAL INDEX KEY: 0001475901 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40528 FILM NUMBER: 231330265 MAIL ADDRESS: STREET 1: 222 MERCHANDISE MART PLAZA STREET 2: SUITE 2024 CITY: CHICAGO STATE: IL ZIP: 60654 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 X0508 4 2023-10-13 0 0001569345 Sprinklr, Inc. CXM 0001475901 Adams Diane C/O SPRINKLR, INC. 29 WEST 35TH STREET , 7TH FLOOR NEW YORK NY 10001 0 1 0 0 Chief Culture & Talent Officer 1 Class A Common Stock 2023-10-13 4 C 0 151235 A 424781 D Class A Common Stock 2023-10-13 4 S 0 151235 13.60 D 273546 D Employee Stock Option (right to buy) 4.25 2023-10-13 4 M 0 31126 0.00 D 2029-03-18 Class B Common Stock 31126 13021 D Class B Common Stock 2023-10-13 4 M 0 31126 4.25 A Class A Common Stock 31126 161126 D Employee Stock Option (right to buy) 4.93 2023-10-13 4 M 0 120109 0.00 D 2030-03-11 Class B Common Stock 120109 154891 D Class B Common Stock 2023-10-13 4 M 0 120109 4.93 A Class A Common Stock 120109 281235 D Class B Common Stock 2023-10-13 4 C 0 151235 0.00 D Class A Common Stock 151235 130000 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. This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on July 14, 2023. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.41 to $13.81 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. Fully vested and exercisable. One fourth (1/4th) of the shares subject to the option award vested on March 11, 2021, 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 2023-10-17