Singh Pavitar's Form 4/A amendment
AmendedSprinklr, Inc. (CXM) · filed Jul 19, 2023
- Accession no.
- 0001209191-23-042746
- Filed
- Jul 19, 2023
- Trade date
- Jul 14, 2023
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Checked
- Original filed
- Jul 17, 2023
This filing lists 1 non-derivative transaction. It carries over 2 transactions from the original filing that it did not restate. Open-market sales total $582.8K. It was filed 5 days after the trade.
This amendment restates part of 0001209191-23-042429 (filed Jul 17, 2023). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Singh PavitarCIK 0001866840 | Officer (Chief Technology 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 14, 2023 | Class A Common Stock | SSaleDisposed | −40,000 | $14.57F2 | −$582,800 | 1,009,082 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001209191-23-042429 (filed Jul 17, 2023).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 14, 2023 | Class A Common Stock | CConversionAcquired | +40,000 | –F1 | – | 1,049,082 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 14, 2023 | Class A Common Stock | CConversionDisposed | −40,000 | $0.00 | $0 | 1,217,828 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- 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.
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 made pursuant to a Rule 10b5-1 trading plan (the "Plan") adopted by the Reporting Person. The original Form 4 misstated the date of adoption of the Plan. The correct adoption date is April 14, 2023.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.33 to $15.20 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.