Sec Form 4 Filing - Singh Pavitar @ Sprinklr, Inc. - 2021-06-25

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
Singh Pavitar
2. Issuer Name and Ticker or Trading Symbol
Sprinklr, Inc. [ CXM]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Technology Officer
(Last) (First) (Middle)
C/O SPRINKLR, INC., 29 WEST 35TH STREET, 7TH FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
06/25/2021
(Street)
NEW YORK, NY10001
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ 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
Common Stock 06/25/2021 J( 1 ) 1,876,186 ( 1 ) D $ 0 ( 1 ) 0 D
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
Class B Common Stock ( 2 ) 06/25/2021 J( 1 ) 1,876,186 ( 2 ) ( 2 ) Class A Common Stock 1,876,186 $ 0 1,876,186 D
Employee Stock Option (right to buy) $ 3.73 06/25/2021 J( 1 ) 162,500 ( 3 ) 02/07/2028 Common Stock ( 1 ) 162,500 $ 0 0 D
Employee Stock Option (right to buy) $ 3.73 06/25/2021 J( 1 ) 162,500 ( 3 ) 02/07/2028 Class B Common Stock 162,500 $ 0 162,500 D
Employee Stock Option (right to buy) $ 4.25 06/25/2021 J( 1 ) 175,000 ( 4 ) 03/18/2029 Common Stock ( 1 ) 175,000 $ 0 0 D
Employee Stock Option (right to buy) $ 4.25 06/25/2021 J( 1 ) 175,000 ( 4 ) 03/18/2029 Class B Common Stock 175,000 $ 0 175,000 D
Employee Stock Option (right to buy) $ 4.93 06/25/2021 J( 1 ) 415,625 ( 5 ) 03/11/2030 Common Stock ( 1 ) 415,625 $ 0 0 D
Employee Stock Option (right to buy) $ 4.93 06/25/2021 J( 1 ) 415,625 ( 5 ) 03/11/2030 Class B Common Stock 415,625 $ 0 415,625 D
Employee Stock Option (right to buy) $ 7.68 06/25/2021 J( 1 ) 500,000 ( 6 ) 01/28/2031 Common Stock ( 1 ) 500,000 $ 0 0 D
Employee Stock Option (right to buy) $ 7.68 06/25/2021 J( 1 ) 500,000 ( 6 ) 01/28/2031 Class B Common Stock 500,000 $ 0 500,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Singh Pavitar
C/O SPRINKLR, INC.
29 WEST 35TH STREET, 7TH FLOOR
NEW YORK, NY10001
Chief Technology Officer
Signatures
/s/ Jason Minio, Attorney-in-Fact 06/29/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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.
( 2 )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.
( 3 )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.
( 4 )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.
( 5 )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.
( 6 )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.

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