Lazzaron Luca's Form 4/A amendment
AmendedSprinklr, Inc. (CXM) · filed Apr 13, 2022
- Accession no.
- 0001209191-22-024370
- Filed
- Apr 13, 2022
- Trade date
- Sep 4-Nov 16, 2021
- Filing delay
- 221 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Nov 17, 2021
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $890.0K. It was filed 221 days after the trade.
This amendment replaces 0001209191-21-065156 (filed Nov 17, 2021).
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 |
|---|---|
| Lazzaron LucaCIK 0001867345 | Officer (Chief Revenue 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 4, 2021 | Class A Common Stock | CConversionAcquired | +150,000 | –F2 | – | 319,081 | Direct | |
| Nov 16, 2021 | Class A Common Stock | CConversionAcquired | 0 | –F2 | – | 319,081 | Direct | |
| Nov 16, 2021 | Class A Common Stock | SSaleDisposed | −50,000 | $17.80F5 | −$890,000 | 269,081 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 4, 2021 | Class A Common Stock | CConversionDisposed | −150,000 | $0.00 | $0 | 600,000 | Direct | |
| Nov 16, 2021 | Class A Common Stock | CConversionDisposed | 0 | $0.00 | $0 | 600,000 | 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
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.
Referenced by the price of 2 transactions in Table I.
- 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.
- F4
Shares were sold pursuant to a Rule 10b5-1 trading plan.
- 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.
Referenced by the price of 1 transaction in Table I.