Form 4 for CXM Sprinklr, Inc.
Accepted 2023-11-21 00:00:00 ET · period of report 2023-11-17 · accession 0001209191-23-056246 · 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 | 2023-11-21 | 2023-11-17 | CXM | TOBIN SCOTT R | 10% | C - Cnv Deriv | — | +9.90M | 11.94M | +486% | — |
| DI | 2023-11-21 | 2023-11-17 | CXM | TOBIN SCOTT R | 10% | C - Cnv Deriv | — | +99.0K | 117.5K | +536% | — |
| D | 2023-11-21 | 2023-11-17 | CXM | TOBIN SCOTT R | 10% | C - Cnv Deriv | $0.00 | -9.90M | 10.63M | -48% | $0 |
| DI | 2023-11-21 | 2023-11-17 | CXM | TOBIN SCOTT R | 10% | C - Cnv Deriv | $0.00 | -99.0K | 106.3K | -48% | $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 | 2023-11-17 | C | A | 9,901,000 | — | 11,936,367 | D By Battery Investment Partners IX, LLC | — | — | (F1) These shares of Class B common stock were converted on a one-for-one basis into Class A common stock. (F2) The reported securities are owned directly by Battery Ventures IX, L.P. ("BV IX"). The sole general partner of BV IX is Battery Partners IX, LLC ("BP IX"). Neeraj Agrawal, Michael M. Brown, Jesse R. Feldman, Roger H. Lee, R. David Tabors and Scott R. Tobin are the managing members of BP IX and may be deemed to share voting and dispositive power over the securities held by BV IX. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of his or its 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. Mr. Agrawal is a director of the Issuer and files separate Section 16 reports. (F3) The reported securities are owned directly by Battery Investment Partners IX, LLC ("BIP IX"). The sole managing member of BIP IX is BP IX. Neeraj Agrawal, Michael M. Brown, Jesse R. Feldman, Roger H. Lee, R. David Tabors and Scott R. Tobin are the managing members of BP IX and may be deemed to share voting and dispositive power over the securities held by BIP IX. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of his or its 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. Mr. Agrawal is a director of the Issuer and files separate Section 16 reports. |
| 2 | Common | Class A Common Stock | 2023-11-17 | C | A | 99,000 | — | 117,464 | I | — | — | (F1) These shares of Class B common stock were converted on a one-for-one basis into Class A common stock. |
| 3 | Derivative | Class B Common Stock | 2023-11-17 | C | D | 9,901,000 | $0.00 | 10,634,367 | D By Battery Investment Partners IX, LLC | — · — to — | 9,901,000 Class A Common Stock | (F14) 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. (F2) The reported securities are owned directly by Battery Ventures IX, L.P. ("BV IX"). The sole general partner of BV IX is Battery Partners IX, LLC ("BP IX"). Neeraj Agrawal, Michael M. Brown, Jesse R. Feldman, Roger H. Lee, R. David Tabors and Scott R. Tobin are the managing members of BP IX and may be deemed to share voting and dispositive power over the securities held by BV IX. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of his or its 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. Mr. Agrawal is a director of the Issuer and files separate Section 16 reports. (F3) The reported securities are owned directly by Battery Investment Partners IX, LLC ("BIP IX"). The sole managing member of BIP IX is BP IX. Neeraj Agrawal, Michael M. Brown, Jesse R. Feldman, Roger H. Lee, R. David Tabors and Scott R. Tobin are the managing members of BP IX and may be deemed to share voting and dispositive power over the securities held by BIP IX. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of his or its 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. Mr. Agrawal is a director of the Issuer and files separate Section 16 reports. (F1) These shares of Class B common stock were converted on a one-for-one basis into Class A common stock. |
| 4 | Derivative | Class B Common Stock | 2023-11-17 | C | D | 99,000 | $0.00 | 106,335 | I | — · — to — | 99,000 Class A Common Stock | (F14) 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. (F1) These shares of Class B common stock were converted on a one-for-one basis into Class A common stock. |