Form 4 for CXM Sprinklr, Inc.
Accepted 2023-04-12 00:00:00 ET · period of report 2023-04-10 · accession 0001209191-23-024148 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2023-04-12 | 2023-04-11 | CXM | Stoner Chelsea R. | 10% | S - Sale | $12.70 | -499.6K | 0 | -100% | -$6.35M |
| I | 2023-04-12 | 2023-04-11 | CXM | Stoner Chelsea R. | 10% | S - Sale | $12.84 | -159.5K | 0 | -100% | -$2.05M |
| MI | 2023-04-12 | 2023-04-10 | CXM | Stoner Chelsea R. | 10% | J - Other | $0.00 | -3.03M | 17.54M | -15% | $0 |
| 2023-04-12 | 2023-04-11 | CXM | Stoner Chelsea R. | 10% | G - Gift | $0.00 | -287.6K | 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 | 2023-04-11 | S | D | 214,160 | $12.69 | 0 | D | — | — | (F11) The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $12.54 to $12.83 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 securities sold at each separate price within the range set forth in this footnote. (F12) The securities beneficially owned by the Reporting Person prior to the reported transaction reflect the receipt of securities in the distributions in kind described in footnotes (3) and (7). (F13) Securities are held by Jesse R. Feldman. |
| 2 | Common | Class A Common Stock | 2023-04-11 | S | D | 159,500 | $12.84 | 0 | I | — | — | (F14) The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $12.75 to $12.91 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 securities sold at each separate price within the range set forth in this footnote. (F9) 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). |
| 3 | Common | Class A Common Stock | 2023-04-11 | S | D | 285,439 | $12.71 | 0 | D By Trust | — | — | (F8) The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $12.71 to $12.73 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 securities sold at each separate price within the range set forth in this footnote. (F9) 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). (F10) Securities are held by Michael M. Brown. (F15) Securities are held by the Spiller Stoner Family Trust Dated 8/22/13, of which Chelsea R. Stoner is a trustee. Ms. Stoner disclaims beneficial ownership of these securities except to the extent of her proportionate pecuniary interest therein. |
| 4 | Common | Class A Common Stock | 2023-04-10 | J | D | 3,000,000 | $0.00 | 0 | I By Battery Partners IX, LLC | — | — | (F6) Securities are held by BP IX. Michael M. Brown, Jesse R. Feldman and R. David Tabors are managing members 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 | Common | Class A Common Stock | 2023-04-10 | J | A | 3,000,000 | $0.00 | 3,000,000 | I By Battery Partners IX, LLC | — | — | (F6) Securities are held by BP IX. Michael M. Brown, Jesse R. Feldman and R. David Tabors are managing members 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. |
| 6 | Common | Class A Common Stock | 2023-04-10 | J | D | 30,304 | $0.00 | 175,031 | I By Battery Investment Partners IX, LLC | — | — | (F4) 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. Michael M. Brown, Jesse R. Feldman and R. David Tabors are managing members 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 | Common | Class A Common Stock | 2023-04-10 | J | D | 3,000,000 | $0.00 | 17,535,367 | I By Battery Ventures IX, L.P. | — | — | (F2) Securities are held by BV IX. Battery Partners IX, LLC ("BP IX") is the general partner of BV IX and may be deemed to beneficially own the securities held by BV IX. Michael M. Brown, Jesse R. Feldman and R. David Tabors are managing members 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. |
| 8 | Common | Class A Common Stock | 2023-04-11 | G | D | 287,580 | $0.00 | 0 | D | — | — | (F16) Gift without consideration. (F12) The securities beneficially owned by the Reporting Person prior to the reported transaction reflect the receipt of securities in the distributions in kind described in footnotes (3) and (7). (F17) Shares are held by R. David Tabors. |