Home/Filings/4/0001209191-23-056246

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TABORS R DAVID 4

Accession 0001209191-23-056246

CIK 0001569345other

View on SEC.gov Company Profile

Filed

Nov 20, 7:00 PM ET

Accepted

Nov 21, 4:18 PM ET

Size

36.7 KB

Accession

0001209191-23-056246

Insider Transaction Report

Form 4

Period: 2023-11-17

Sprinklr, Inc.CXM

Battery Ventures IX, L.P.

10% Owner

Transactions

Conversion
Class A Common Stock
2023-11-17+99,000→ 117,464 total(indirect: By LLC)
Conversion
Class B Common Stock
2023-11-17−99,000→ 106,335 total(indirect: By LLC)
→ Class A Common Stock (99,000 underlying)
Conversion
Class B Common Stock
2023-11-17−9,901,000→ 10,634,367 total
→ Class A Common Stock (9,901,000 underlying)
Conversion
Class A Common Stock
2023-11-17+9,901,000→ 11,936,367 total

Holdings

Class A Common Stock
88,593
Class B Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
→ Class A Common Stock (1,203,568 underlying)
1,203,568
Class B Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
→ Class A Common Stock (119,034 underlying)
119,034
Class A Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
2,180,664
Class A Common Stock
259,460
Class A Common Stock
194,838
Class A Common Stock
733,222
Class A Common Stock
(indirect: By LLC)
11,062
Class A Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
215,670
Class A Common Stock
(indirect: By Trust)
559,581

Battery Investment Partners IX, LLC

10% Owner

Transactions

Conversion
Class A Common Stock
2023-11-17+9,901,000→ 11,936,367 total
Conversion
Class A Common Stock
2023-11-17+99,000→ 117,464 total(indirect: By LLC)
Conversion
Class B Common Stock
2023-11-17−9,901,000→ 10,634,367 total
→ Class A Common Stock (9,901,000 underlying)
Conversion
Class B Common Stock
2023-11-17−99,000→ 106,335 total(indirect: By LLC)
→ Class A Common Stock (99,000 underlying)

Holdings

Class A Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
215,670
Class A Common Stock
194,838
Class A Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
2,180,664
Class A Common Stock
259,460
Class A Common Stock
88,593
Class A Common Stock
733,222
Class A Common Stock
(indirect: By LLC)
11,062
Class B Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
→ Class A Common Stock (1,203,568 underlying)
1,203,568
Class A Common Stock
(indirect: By Trust)
559,581
Class B Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
→ Class A Common Stock (119,034 underlying)
119,034

Battery Partners IX, LLC

10% Owner

Transactions

Conversion
Class B Common Stock
2023-11-17−99,000→ 106,335 total(indirect: By LLC)
→ Class A Common Stock (99,000 underlying)
Conversion
Class A Common Stock
2023-11-17+9,901,000→ 11,936,367 total
Conversion
Class A Common Stock
2023-11-17+99,000→ 117,464 total(indirect: By LLC)
Conversion
Class B Common Stock
2023-11-17−9,901,000→ 10,634,367 total
→ Class A Common Stock (9,901,000 underlying)

Holdings

Class A Common Stock
(indirect: By Trust)
559,581
Class B Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
→ Class A Common Stock (1,203,568 underlying)
1,203,568
Class A Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
2,180,664
Class A Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
215,670
Class A Common Stock
259,460
Class A Common Stock
194,838
Class A Common Stock
733,222
Class A Common Stock
(indirect: By LLC)
11,062
Class B Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
→ Class A Common Stock (119,034 underlying)
119,034
Class A Common Stock
88,593

TOBIN SCOTT R

10% Owner

Transactions

Conversion
Class A Common Stock
2023-11-17+9,901,000→ 11,936,367 total
Conversion
Class B Common Stock
2023-11-17−99,000→ 106,335 total(indirect: By LLC)
→ Class A Common Stock (99,000 underlying)
Conversion
Class B Common Stock
2023-11-17−9,901,000→ 10,634,367 total
→ Class A Common Stock (9,901,000 underlying)
Conversion
Class A Common Stock
2023-11-17+99,000→ 117,464 total(indirect: By LLC)

Holdings

Class A Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
2,180,664
Class A Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
215,670
Class A Common Stock
259,460
Class A Common Stock
(indirect: By Trust)
559,581
Class B Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
→ Class A Common Stock (1,203,568 underlying)
1,203,568
Class A Common Stock
733,222
Class A Common Stock
(indirect: By LLC)
11,062
Class A Common Stock
88,593
Class A Common Stock
194,838
Class B Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
→ Class A Common Stock (119,034 underlying)
119,034

TABORS R DAVID

10% Owner

Transactions

Conversion
Class B Common Stock
2023-11-17−9,901,000→ 10,634,367 total
→ Class A Common Stock (9,901,000 underlying)
Conversion
Class A Common Stock
2023-11-17+99,000→ 117,464 total(indirect: By LLC)
Conversion
Class B Common Stock
2023-11-17−99,000→ 106,335 total(indirect: By LLC)
→ Class A Common Stock (99,000 underlying)
Conversion
Class A Common Stock
2023-11-17+9,901,000→ 11,936,367 total

Holdings

Class A Common Stock
194,838
Class A Common Stock
(indirect: By Trust)
559,581
Class A Common Stock
733,222
Class B Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
→ Class A Common Stock (1,203,568 underlying)
1,203,568
Class A Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
215,670
Class A Common Stock
259,460
Class A Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
2,180,664
Class A Common Stock
(indirect: By LLC)
11,062
Class B Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
→ Class A Common Stock (119,034 underlying)
119,034
Class A Common Stock
88,593

BROWN MICHAEL MAURICE

10% Owner

Transactions

Conversion
Class B Common Stock
2023-11-17−9,901,000→ 10,634,367 total
→ Class A Common Stock (9,901,000 underlying)
Conversion
Class A Common Stock
2023-11-17+9,901,000→ 11,936,367 total
Conversion
Class B Common Stock
2023-11-17−99,000→ 106,335 total(indirect: By LLC)
→ Class A Common Stock (99,000 underlying)
Conversion
Class A Common Stock
2023-11-17+99,000→ 117,464 total(indirect: By LLC)

Holdings

Class A Common Stock
194,838
Class A Common Stock
88,593
Class A Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
2,180,664
Class A Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
215,670
Class A Common Stock
259,460
Class A Common Stock
(indirect: By Trust)
559,581
Class A Common Stock
733,222
Class B Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
→ Class A Common Stock (119,034 underlying)
119,034
Class A Common Stock
(indirect: By LLC)
11,062
Class B Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
→ Class A Common Stock (1,203,568 underlying)
1,203,568

Feldman Jesse

10% Owner

Transactions

Conversion
Class A Common Stock
2023-11-17+99,000→ 117,464 total(indirect: By LLC)
Conversion
Class A Common Stock
2023-11-17+9,901,000→ 11,936,367 total
Conversion
Class B Common Stock
2023-11-17−9,901,000→ 10,634,367 total
→ Class A Common Stock (9,901,000 underlying)
Conversion
Class B Common Stock
2023-11-17−99,000→ 106,335 total(indirect: By LLC)
→ Class A Common Stock (99,000 underlying)

Holdings

Class A Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
2,180,664
Class A Common Stock
(indirect: By Trust)
559,581
Class A Common Stock
733,222
Class A Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
215,670
Class A Common Stock
259,460
Class A Common Stock
88,593
Class A Common Stock
(indirect: By LLC)
11,062
Class B Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
→ Class A Common Stock (119,034 underlying)
119,034
Class A Common Stock
194,838
Class B Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
→ Class A Common Stock (1,203,568 underlying)
1,203,568

Lee Roger H

10% Owner

Transactions

Conversion
Class B Common Stock
2023-11-17−99,000→ 106,335 total(indirect: By LLC)
→ Class A Common Stock (99,000 underlying)
Conversion
Class B Common Stock
2023-11-17−9,901,000→ 10,634,367 total
→ Class A Common Stock (9,901,000 underlying)
Conversion
Class A Common Stock
2023-11-17+99,000→ 117,464 total(indirect: By LLC)
Conversion
Class A Common Stock
2023-11-17+9,901,000→ 11,936,367 total

Holdings

Class A Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
215,670
Class A Common Stock
194,838
Class A Common Stock
88,593
Class A Common Stock
(indirect: By Trust)
559,581
Class A Common Stock
(indirect: By LLC)
11,062
Class A Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
2,180,664
Class A Common Stock
733,222
Class B Common Stock
(indirect: By Battery Investment Partners Select Fund I, L.P.)
→ Class A Common Stock (119,034 underlying)
119,034
Class A Common Stock
259,460
Class B Common Stock
(indirect: By Battery Ventures Select Fund I, L.P)
→ Class A Common Stock (1,203,568 underlying)
1,203,568

Footnotes (14)

[F1]These shares of Class B common stock were converted on a one-for-one basis into Class A common stock.
[F10]Securities are held by The Lee Family Trust, of which Roger H. Lee is a co-trustee. Mr. Lee disclaims beneficial ownership of these securities held by The Lee Family Trust except to the extent of his proportionate pecuniary interest therein.
[F11]Shares are held by R. David Tabors.
[F12]Shares are held by Scott R. Tobin.
[F13]Securities are held by Tobin Family, LLC, of which Mr. Tobin is the sole member. Mr. Tobin disclaims beneficial ownership of these securities except to the extent of his 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.
[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.
[F4]The reported securities are owned directly by Battery Ventures Select Fund I, L.P. ("BV Select I"). R. David Tabors has an economic interest in BV Select I. The sole general partner of BV Select I is Battery Partners Select Fund I, L.P. ("BP Select I"). The general partner of BP Select I is Battery Partners Select Fund I GP, LLC ("BP Select I GP"). Neeraj Agrawal, Michael M. Brown, Jesse R. Feldman, Roger H. Lee and Scott R. Tobin are managing members of BP Select I GP and may be deemed to share voting and dispositive power over the securities held by BV Select I. 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 t
[F5]The reported securities are owned directly by Battery Investment Partners Select Fund I, L.P. ("BIP Select I"). R. David Tabors has an economic interest in BIP Select I. The sole general partner of BIP Select I is BP Select I GP. Neeraj Agrawal, Michael M. Brown, Jesse R. Feldman, Roger H. Lee and Scott R. Tobin are managing members of BP Select I GP and may be deemed to share voting and dispositive power over the securities held by BIP Select I. 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.
[F6]The securities held by the Reporting Person prior to the transaction reported herein reflect the receipt of securities pursuant to a pro rata distribution in kind effected by BP IX to its members for no additional consideration, including the Reporting Person. The receipt of such securities by the Reporting Person constituted a change in form of ownership and, therefore, was not required to be reported pursuant to Section 16.
[F7]Securities are held by Michael M. Brown.
[F8]The securities held by the Reporting Person prior to the transaction reported herein reflect the receipt of securities pursuant to a pro rata distribution in kind effected by BIP IX to its members for no additional consideration, including the Reporting Person. The receipt of such securities by the Reporting Person constituted a change in form of ownership and, therefore, was not required to be reported pursuant to Section 16.
[F9]Securities are held by Jesse R. Feldman.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

Sprinklr, Inc.

CIK 0001569345

→

Entity typeother

Related Parties

filerCIK 0001199925

Filing Metadata

Form type: 4
Filed: Nov 20, 7:00 PM ET
Accepted: Nov 21, 4:18 PM ET
Size: 36.7 KB

View on SEC.gov