0001209191-23-044000.txt : 20230801 0001209191-23-044000.hdr.sgml : 20230801 20230801163854 ACCESSION NUMBER: 0001209191-23-044000 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230728 FILED AS OF DATE: 20230801 DATE AS OF CHANGE: 20230801 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: 231132336 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 X0508 4 2023-07-28 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 0 Class A Common Stock 2023-07-28 4 C 0 3000 A 485770 D Class A Common Stock 2023-07-31 4 S 0 1613 13.74 D 484157 D Class B Common Stock 2023-07-28 4 C 0 3000 0.00 D Class A Common Stock 3000 29176443 D Class B Common Stock Class A Common Stock 8129863 8129863 I See footnote Class B Common Stock Class A Common Stock 13106677 13106677 I See footnote Class B Common Stock Class A Common Stock 0 0 I See footnote Class B Common Stock Class A Common Stock 1996523 1996523 I See footnote Class B Common Stock Class A Common Stock 185053 185053 I See footnote 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. If the Reporting Person is terminated for cause, each share of Class B common stock will automatically convert to Class A Common Stock. Represents the number of shares required to be sold to cover the statutory tax withholding obligations in connection with the vesting of the restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of minimum statutory tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary sale by the Reporting Person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.60 to $13.77 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. 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. 1,996,523 shares were transferred from the Neelu Paul, RT 2019 Grantor Retained Annuity Trust (the "2019 Trust") to The Family Trust Under the RT GRAT Dtd 11/11/19 2019 (the "2019 Family Trust"). The transfer was a change in the form of beneficial ownership and was exempt from reporting pursuant to Rule 16a-13. The securities are held by the 2019 Trust. The Reporting Person is a trustee of the 2019 Trust. The securities are held by the 2019 Family Trust. The Reporting Person is a trustee of the 2019 Family Trust. The securities are held by the 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. /s/ Jason Minio, Attorney-in-Fact 2023-08-01