Form 4 for CXM Sprinklr, Inc.
Accepted 2021-12-17 00:00:00 ET · period of report 2021-12-15 · accession 0001209191-21-070339 · 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 | 2021-12-17 | 2021-12-15 | CXM | Conn Wilson Grad | Chief Experience Off | C - Cnv Deriv | — | +10.0K | 26.6K | +60% | — |
| D | 2021-12-17 | 2021-12-15 | CXM | Conn Wilson Grad | Chief Experience Off | S - Sale | $15.00 | -10.0K | 16.6K | -38% | -$150.0K |
| DM | 2021-12-17 | 2021-12-15 | CXM | Conn Wilson Grad | Chief Experience Off | M - OptEx | $2.00 | 0 | 10.0K | New | $0 |
| D | 2021-12-17 | 2021-12-15 | CXM | Conn Wilson Grad | Chief Experience Off | C - Cnv Deriv | $0.00 | -10.0K | 0 | -100% | $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 | 2021-12-15 | C | A | 10,000 | — | 26,582 | 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 | Common | Class A Common Stock | 2021-12-15 | S | D | 10,000 | $15.00 | 16,582 | D | — | — | |
| 3 | Derivative | Employee Stock Option (right to buy) | 2021-12-15 | M | D | 10,000 | $0.00 | 198,333 | D | $3.99 · — to 2028-05-09 | 10,000 Class B Common Stock | (F3) One fourth (1/4th) of the shares subject to the option award vested on April 9, 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 | Derivative | Class B Common Stock | 2021-12-15 | M | A | 10,000 | $3.99 | 10,000 | D | — · — to — | 10,000 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. |
| 5 | Derivative | Class B Common Stock | 2021-12-15 | C | D | 10,000 | $0.00 | 0 | D | — · — to — | 10,000 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. |