Sec Form 4 Filing - Battery Partners IX, LLC @ Sprinklr, Inc. - 2023-09-11

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Battery Partners IX, LLC
2. Issuer Name and Ticker or Trading Symbol
Sprinklr, Inc. [ CXM]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
ONE MARINA PARK DRIVE, SUITE 1100,
3. Date of Earliest Transaction (MM/DD/YY)
09/11/2023
(Street)
BOSTON, MA02210
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 09/11/2023 J( 1 ) 3,000,000 D $ 0 8,035,367 I By Battery Ventures IX, L.P. ( 2 )
Class A Common Stock 09/11/2023 J( 3 ) 30,304 D $ 0 79,072 I By Battery Investment Partners IX, LLC ( 4 )
Class A Common Stock 09/11/2023 J( 5 ) 909,799 A $ 0 909,799 I By Battery Partners IX, LLC ( 6 )
Class A Common Stock 09/11/2023 J( 7 ) 909,799 D $ 0 0 I By Battery Partners IX, LLC ( 6 )
Class A Common Stock 09/11/2023 G 145,000 D $ 0 ( 8 ) 560,326 ( 9 ) D ( 10 )
Class A Common Stock 215,670 I By Battery Investment Partners Select Fund I, L.P. ( 11 )
Class A Common Stock 2,180,664 I By Battery Ventures Select Fund I, L.P. ( 12 )
Class A Common Stock 6,780 ( 13 ) I By Tobin Family, LLC ( 14 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Battery Partners IX, LLC
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X
Battery Investment Partners IX, LLC
C/O BATTERY VENTURES
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X
Battery Ventures IX, L.P.
C/O BATTERY VENTURES
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X
TOBIN SCOTT R
C/O BATTERY VENTURES
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X
Signatures
/s/ Christopher Schiavo, as Attorney-in-Fact for Battery Partners IX, LLC 09/13/2023
Signature of Reporting Person Date
/s/ Christopher Schiavo, as Attorney-in-Fact for Battery Investment Partners IX, LLC 09/13/2023
Signature of Reporting Person Date
/s/ Christopher Schiavo, as Attorney-in-Fact for Battery Ventures IX, L.P. 09/13/2023
Signature of Reporting Person Date
/s/ Christopher Schiavo, as Attorney-in-Fact for Scott R. Tobin 09/13/2023
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents a pro rata, in-kind distribution, and not a purchase or sale of securities, by Battery Ventures IX, L.P. ("BV IX") to its general partner and limited partners without additional consideration.
( 2 )Securities are held by BV IX. BP IX is the general partner of BV IX and may be deemed to beneficially own the securities held by BV IX. Scott R. Tobin is a managing member of BP IX and may be deemed to share voting and dispositive power over these securities. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose.
( 3 )Represents a pro rata, in-kind distribution, and not a purchase or sale of securities, by Battery Investment Partners IX, LLC ("BIP IX") to its members without additional consideration.
( 4 )Securities are held by BIP IX. BP IX is the managing member of BIP IX and may be deemed to beneficially own the securities held by BIP IX. Scott R. Tobin is a managing member of BP IX and may be deemed to share voting and dispositive power over these securities. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose.
( 5 )Represents receipt of securities in the distribution in kind described in footnote (1).
( 6 )Securities are held by BP IX. Scott R. Tobin is a managing member of BP IX and may be deemed to share voting and dispositive power over these securities. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose.
( 7 )Represents a pro rata, in-kind distribution, and not a purchase or sale of securities, by BP IX to its members without consideration.
( 8 )Gift without consideration.
( 9 )The securities beneficially owned by the Reporting Person prior to the reported transaction reflect the receipt of securities in the distribution in kind described in footnote (7).
( 10 )Securities are held by Scott R. Tobin.
( 11 )Securities are held by Battery Investment Partners Select Fund I, L.P. ("BIP Select I"). The sole general partner of BIP Select I is Battery Partners Select Fund I GP, LLC ("BP Select I GP"). Scott R. Tobin is a managing member of BP Select I GP and may be deemed to share voting and dispositive power over these securities. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose.
( 12 )Securities are held by Battery Ventures Select Fund I, L.P. ("BV Select I"). The sole general partner of BV Select I is Battery Partners Select Fund I, L.P. ("BP Select I"). The general partner of BP Select I is BP Select I GP. Scott R. Tobin is a managing member of BP Select I GP and may be deemed to share voting and dispositive power over these securities. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, a nd the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose.
( 13 )The total number of securities reported herein reflects the receipt of securities in the distribution in kind described in footnote (3).
( 14 )Securities are held by Tobin Family, LLC, of which the Reporting Person is the sole member. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose.

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