Form 4/A for CXM Sprinklr, Inc.
Accepted 2022-04-13 00:00:00 ET · period of report 2021-08-30 · accession 0001209191-22-024370 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DA | 2022-04-13 | 2021-11-16 | CXM | Lazzaron Luca | Chief Revenue Off | S - Sale | $17.80 | -50.0K | 269.1K | -16% | -$890.0K |
| DMA | 2022-04-13 | 2021-09-04+ | CXM | Lazzaron Luca | Chief Revenue Off | C - Cnv Deriv | — | +150.0K | 319.1K | +89% | — |
| DMA | 2022-04-13 | 2021-09-04+ | CXM | Lazzaron Luca | Chief Revenue Off | C - Cnv Deriv | $0.00 | -150.0K | 600.0K | -20% | $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 | 2021-11-16 | S | D | 50,000 | $17.80 | 269,081 | D | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.53 to $17.99 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. (F3) The initial Form 4 filed on November 17, 2021 inadvertently reported a conversion of 50,000 shares of Class B Common Stock to Class A Common Stock on November 16, 2021 (the "Conversion"). This amendment severs to delete the Conversion from Table I and Table II of the initial Form 4 and correct the number of shares held by the Reporting Person following the reported transaction following the November 16, 2021 transactions. |
| 2 | Common | Class A Common Stock | 2021-11-16 | C | A | 0 | — | 319,081 | D | — | — | (F3) The initial Form 4 filed on November 17, 2021 inadvertently reported a conversion of 50,000 shares of Class B Common Stock to Class A Common Stock on November 16, 2021 (the "Conversion"). This amendment severs to delete the Conversion from Table I and Table II of the initial Form 4 and correct the number of shares held by the Reporting Person following the reported transaction following the November 16, 2021 transactions. (F2) 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. |
| 3 | Common | Class A Common Stock | 2021-09-04 | C | A | 150,000 | — | 319,081 | D | — | — | (F1) This transaction was inadvertently omitted from the initial Form 4 filed on November 17, 2021. (F2) 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 | 2021-09-04 | C | D | 150,000 | $0.00 | 600,000 | D | — · — to — | 150,000 Class A Common Stock | (F1) This transaction was inadvertently omitted from the initial Form 4 filed on November 17, 2021. (F2) 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 | 2021-11-16 | C | D | 0 | $0.00 | 600,000 | D | — · — to — | 0 Class A Common Stock | (F3) The initial Form 4 filed on November 17, 2021 inadvertently reported a conversion of 50,000 shares of Class B Common Stock to Class A Common Stock on November 16, 2021 (the "Conversion"). This amendment severs to delete the Conversion from Table I and Table II of the initial Form 4 and correct the number of shares held by the Reporting Person following the reported transaction following the November 16, 2021 transactions. (F2) 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. |