Form 4/A for CXM Sprinklr, Inc.
Accepted 2023-08-24 00:00:00 ET · period of report 2023-07-28 · accession 0001209191-23-047214 · 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 | 2023-08-24 | 2023-07-28 | CXM | Thomas Ragy | CEO, Dir | C - Cnv Deriv | — | +1,613 | 484.4K | +0.3% | — |
| DA | 2023-08-24 | 2023-07-31 | CXM | Thomas Ragy | CEO, Dir | S - Sale | $13.74 | -1,613 | 482.8K | -0.3% | -$22.2K |
| DA | 2023-08-24 | 2023-07-28 | CXM | Thomas Ragy | CEO, Dir | C - Cnv Deriv | $0.00 | -1,613 | 29.18M | -0.0% | $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 | 2023-07-28 | C | A | 1,613 | — | 484,383 | D | — | — | (F1) The original Form 4 filed on August 1, 2023, inadvertently listed the incorrect (i) number of shares converted from Class B Common Stock to Class A Common Stock, (ii) number of Class A Common Stock beneficially owned after the transaction, and (iii) number of Class B Common Stock beneficially owned after the transaction. This amendment reflects the correct (i) number of shares converted, (ii) number of Class A Common Stock beneficially owned after the transaction, and (iii) number of Class B Common Stock beneficially owned after the transaction (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 to certain timing criteria. If the Reporting Person is terminated for cause, each share of Class B common stock will automatically convert to Class A Common Stock. |
| 2 | Common | Class A Common Stock | 2023-07-31 | S | D | 1,613 | $13.74 | 482,770 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.60 to $13.77 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. (F1) The original Form 4 filed on August 1, 2023, inadvertently listed the incorrect (i) number of shares converted from Class B Common Stock to Class A Common Stock, (ii) number of Class A Common Stock beneficially owned after the transaction, and (iii) number of Class B Common Stock beneficially owned after the transaction. This amendment reflects the correct (i) number of shares converted, (ii) number of Class A Common Stock beneficially owned after the transaction, and (iii) number of Class B Common Stock beneficially owned after the transaction |
| 3 | Derivative | Class B Common Stock | 2023-07-28 | C | D | 1,613 | $0.00 | 29,177,830 | D | — · — to — | 1,613 Class A Common Stock | (F1) The original Form 4 filed on August 1, 2023, inadvertently listed the incorrect (i) number of shares converted from Class B Common Stock to Class A Common Stock, (ii) number of Class A Common Stock beneficially owned after the transaction, and (iii) number of Class B Common Stock beneficially owned after the transaction. This amendment reflects the correct (i) number of shares converted, (ii) number of Class A Common Stock beneficially owned after the transaction, and (iii) number of Class B Common Stock beneficially owned after the transaction (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 to certain timing criteria. If the Reporting Person is terminated for cause, each share of Class B common stock will automatically convert to Class A Common Stock. |