0001209191-21-043874.txt : 20210629 0001209191-21-043874.hdr.sgml : 20210629 20210629211715 ACCESSION NUMBER: 0001209191-21-043874 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210625 FILED AS OF DATE: 20210629 DATE AS OF CHANGE: 20210629 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lazzaron Luca CENTRAL INDEX KEY: 0001867345 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40528 FILM NUMBER: 211060151 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 2021-06-25 0 0001569345 Sprinklr, Inc. CXM 0001867345 Lazzaron Luca C/O SPRINKLR, INC. 29 WEST 35TH STREET, 7TH FLOOR NEW YORK NY 10001 0 1 0 0 Chief Revenue Officer Common Stock 2021-06-25 4 J 0 769081 0.00 D 0 D Class B Common Stock 2021-06-25 4 J 0 769081 0.00 A Class A Common Stock 769081 769081 D Employee Stock Option (right to buy) 3.73 2021-06-25 4 J 0 100000 0.00 D 2028-02-07 Common Stock 100000 0 D Employee Stock Option (right to buy) 3.73 2021-06-25 4 J 0 100000 0.00 A 2028-02-07 Class B Common Stock 100000 100000 D Employee Stock Option (right to buy) 4.10 2021-06-25 4 J 0 162500 0.00 D 2028-08-14 Common Stock 162500 0 D Employee Stock Option (right to buy) 4.10 2021-06-25 4 J 0 162500 0.00 A 2028-08-14 Class B Common Stock 162500 162500 D Employee Stock Option (right to buy) 4.25 2021-06-25 4 J 0 220000 0.00 D 2029-03-18 Common Stock 220000 0 D Employee Stock Option (right to buy) 4.25 2021-06-25 4 J 0 220000 0.00 A 2029-03-18 Class B Common Stock 220000 220000 D Employee Stock Option (right to buy) 4.93 2021-06-25 4 J 0 525000 0.00 D 2030-03-11 Common Stock 525000 0 D Employee Stock Option (right to buy) 4.93 2021-06-25 4 J 0 525000 0.00 A 2030-03-11 Class B Common Stock 525000 525000 D Employee Stock Option (right to buy) 7.68 2021-06-25 4 J 0 500000 0.00 D 2031-01-28 Common Stock 500000 0 D Employee Stock Option (right to buy) 7.68 2021-06-25 4 J 0 500000 0.00 A 2031-01-28 Class B Common Stock 500000 500000 D 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. 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. 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. One fourth (1/4th) of the shares subject to the option award vested on August 14, 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. One fourth (1/4th) of the shares subject to the option award vested on May 1, 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. 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. One fifth (1/5th) of the shares subject to the option award shall vest on January 28, 2022, and one sixtieth (1/60th) of the shares subject to the option award shall vest on the first day of each month thereafter, subject to the Reporting Person's continuous service. /s/ Jason Minio, Attorney-in-Fact 2021-06-29