0001209191-21-043153.txt : 20210624 0001209191-21-043153.hdr.sgml : 20210624 20210624191732 ACCESSION NUMBER: 0001209191-21-043153 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210622 FILED AS OF DATE: 20210624 DATE AS OF CHANGE: 20210624 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thomas Ragy CENTRAL INDEX KEY: 0001866802 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40528 FILM NUMBER: 211044207 MAIL ADDRESS: STREET 1: C/O SPRINKLR, INC. STREET 2: 29 WEST 35TH STREET, 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10001 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 2021-06-22 0 0001569345 Sprinklr, Inc. CXM 0001866802 Thomas Ragy C/O SPRINKLR, INC. 29 WEST 35TH STREET, 7TH FLOOR NEW YORK NY 10001 1 1 0 0 Chief Executive Officer Common Stock 2021-06-22 4 A 0 720000 0.00 A 28770704 D Common Stock 8129863 I See footnote Common Stock 13106677 I See footnote Common Stock 3165320 I See footnote Common Stock 500000 I See footnote Employee Stock Option (right to buy) 4.25 2021-06-22 4 A 0 2318632 0.00 A 2029-05-18 Common Stock 2318632 2318632 D Employee Stock Option (right to buy) 4.25 2021-06-22 4 A 0 2318632 0.00 A 2029-05-18 Common Stock 2318632 2318632 D Employee Stock Option (right to buy) 4.25 2021-06-22 4 A 0 2318632 0.00 A 2029-05-18 Common Stock 2318632 2318632 D 60,000 shares represent a restricted stock unit ("RSU") award. One fifth (1/5th) of the RSUs shall vest on January 28, 2022, and one sixteenth (1/16th) of the remaining RSUs shall vest every three (3) months thereafter. 660,000 shares represent a performance stock unit ("PSU") award. The PSUs vest upon both the achievement of certain stock prices and the passage of time. 120,000 PSUs shall vest upon the Issuer's Class A Common Stock trading at each of $30, $40 and $50, as measured on a 45 day weighted average trading price; 60,000 PSUs shall vest upon the Issuer's Class A Common Stock trading at each of $60, $70, $80, $90 and $100, as measured on a 45 day weighted average trading price and one fifth (1/5th) of the PSUs (that meet the stock price achievement) shall vest on January 28, 2022, and one sixteenth (1/16th) of the remaining PSUs shall vest every three (3) months thereafter. The vesting of the RSUs and PSUs are subject to the Reporting Person's continuous service. Each share of Common Stock shall be reclassified into one share of Class B Common Stock immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. The securities are held by Thomas 2014 Family Trust (the "2014 Trust"). The Reporting Person is a trustee of the 2014 Trust. The securities are held by Thomas Family 2017 Irrevocable Trust (the "2017 Trust"). The Reporting Person is a trustee of the 2017 Trust. The securities are held by RT 2019 Grantor Retained Annuity Trust (the "2019 Trust"). The Reporting Person is a trustee of the 2019 Trust. The securities are held by Neelu Paul, Trustee of the RT 2021 Grantor Retained Annuity Trust, dated June 8, 2021 (the "2021 Trust"). The Reporting Person is a trustee of the 2021 Trust. Fully vested and exercisable. The shares subject to this option shall vest upon the Issuer's Class A Common Stock closing at an average price of $18 over thirty consecutive trading days. The shares subject to this option shall vest upon the Issuer's Class A Common Stock closing at an average price of $27 over thirty consecutive trading days. /s/ Jason Minio, Attorney-in-Fact 2021-06-24