Adams Diane's Form 4 filing
Sprinklr, Inc. (CXM) · filed Nov 20, 2023
- Accession no.
- 0001209191-23-056085
- Filed
- Nov 20, 2023
- Trade date
- Nov 16-17, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 6 derivative transactions. Open-market sales total $577.2K. It was filed 4 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 |
|---|---|
| Adams DianeCIK 0001475901 | Officer (Chief Culture & Talent 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 16, 2023 | Class A Common Stock | CConversionAcquired | +1,300 | –F1 | – | 274,846 | Direct | |
| Nov 16, 2023 | Class A Common Stock | SSaleDisposed | −1,300 | $15.00 | −$19,500 | 273,546 | Direct | |
| Nov 17, 2023 | Class A Common Stock | CConversionAcquired | +37,128 | –F1 | – | 310,674 | Direct | |
| Nov 17, 2023 | Class A Common Stock | SSaleDisposed | −37,128 | $15.02F3 | −$557,662.56 | 273,546 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 16, 2023 | Class B Common Stock | MOption exerciseDisposed | −1,300 | $0.00 | $0 | 120,031 | Direct | |
| Nov 16, 2023 | Class A Common Stock | MOption exerciseAcquired | +1,300 | $4.93 | +$6,409 | 130,300 | Direct | |
| Nov 16, 2023 | Class A Common Stock | CConversionDisposed | −1,300 | $0.00 | $0 | 129,000 | Direct | |
| Nov 17, 2023 | Class B Common Stock | MOption exerciseDisposed | −37,128 | $0.00 | $0 | 82,903 | Direct | |
| Nov 17, 2023 | Class A Common Stock | MOption exerciseAcquired | +37,128 | $4.93 | +$183,041.04 | 166,128 | Direct | |
| Nov 17, 2023 | Class A Common Stock | CConversionDisposed | −37,128 | $0.00 | $0 | 129,000 | 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
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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.00 to $15.05 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.