Conn Wilson Grad's Form 4 filing
Sprinklr, Inc. (CXM) · filed Dec 17, 2021
- Accession no.
- 0001209191-21-070339
- Filed
- Dec 17, 2021
- Trade date
- Dec 15, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 3 derivative transactions. Open-market sales total $150.0K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Conn Wilson GradCIK 0001866859 | Officer (Chief Experience Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 15, 2021 | Class A Common Stock | CConversionAcquired | +10,000 | –F1 | – | 26,582 | Direct | |
| Dec 15, 2021 | Class A Common Stock | SSaleDisposed | −10,000 | $15.00 | −$150,000 | 16,582 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 15, 2021 | Class B Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 198,333 | Direct | |
| Dec 15, 2021 | Class A Common Stock | MOption exerciseAcquired | +10,000 | $3.99 | +$39,900 | 10,000 | Direct | |
| Dec 15, 2021 | Class A Common Stock | CConversionDisposed | −10,000 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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.
Referenced by the price of 1 transaction in Table I.