Form 4 for CXM Sprinklr, Inc.
Accepted 2021-11-23 00:00:00 ET · period of report 2021-11-22 · accession 0001209191-21-066665 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-11-23 | 2021-11-22 | CXM | Lynch Christopher Mark | CFO | C - Cnv Deriv | — | +26.8K | 556.8K | +5% | — |
| DM | 2021-11-23 | 2021-11-22 | CXM | Lynch Christopher Mark | CFO | M - OptEx | $1.86 | 0 | 1.26M | New | $0 |
| D | 2021-11-23 | 2021-11-22 | CXM | Lynch Christopher Mark | CFO | C - Cnv Deriv | $0.00 | -26.8K | 1.23M | -2% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-11-22 | C | A | 26,809 | — | 556,777 | D | — | — | (F1) 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, subject to certain timing criteria. |
| 2 | Derivative | Employee Stock Option (right to buy) | 2021-11-22 | M | D | 26,809 | $0.00 | 160,691 | D | $3.73 · — to 2028-02-07 | 26,809 Class B Common Stock | (F2) 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. |
| 3 | Derivative | Class B Common Stock | 2021-11-22 | C | D | 26,809 | $0.00 | 1,229,968 | D | — · — to — | 26,809 Class A Common Stock | (F1) 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, subject to certain timing criteria. |
| 4 | Derivative | Class B Common Stock | 2021-11-22 | M | A | 26,809 | $3.73 | 1,256,777 | D | — · — to — | 26,809 Class A Common Stock | (F1) 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, subject to certain timing criteria. |