Neeraj Agrawal - Jun 22, 2021 Form 3 Insider Report for Sprinklr, Inc. (CXM)

Role
Director, 10%+ Owner
Signature
/s/ Jason Minio, Attorney-in-Fact
Stock symbol
CXM
Transactions as of
Jun 22, 2021
Transactions value $
$0
Form type
3
Date filed
6/22/2021, 07:27 PM
Previous filing
Sep 23, 2021
Next filing
May 5, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CXM Common Stock 29.7K Jun 22, 2021 By Battery Ventures IX, L.P. F1, F2
holding CXM Common Stock 297 Jun 22, 2021 By Battery Investment Partners IX, LLC F1, F3
holding CXM Common Stock 862K Jun 22, 2021 By Battery Ventures Select Fund I, L.P F1, F4
holding CXM Common Stock 85.3K Jun 22, 2021 By Battery Investment Partners Select Fund I, L.P. F1, F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding CXM Series A Preferred Stock Jun 22, 2021 Common Stock 19.8M By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series A Preferred Stock Jun 22, 2021 Common Stock 198K By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series B Preferred Stock Jun 22, 2021 Common Stock 14.3M By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series B Preferred Stock Jun 22, 2021 Common Stock 143K By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series C Preferred Stock Jun 22, 2021 Common Stock 6.47M By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series C Preferred Stock Jun 22, 2021 Common Stock 64.7K By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series D Preferred Stock Jun 22, 2021 Common Stock 287K By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series D Preferred Stock Jun 22, 2021 Common Stock 2.87K By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series D-2 Preferred Stock Jun 22, 2021 Common Stock 91.7K By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series D-2 Preferred Stock Jun 22, 2021 Common Stock 918 By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series E-1 Preferred Stock Jun 22, 2021 Common Stock 14.3K By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series E-1 Preferred Stock Jun 22, 2021 Common Stock 144 By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series E-1 Preferred Stock Jun 22, 2021 Common Stock 78.3K By Battery Ventures Select Fund I, L.P F1, F4, F6
holding CXM Series E-1 Preferred Stock Jun 22, 2021 Common Stock 7.75K By Battery Investment Partners Select Fund I, L.P. F1, F5, F6
holding CXM Series E-2 Preferred Stock Jun 22, 2021 Common Stock 1.77K By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series E-2 Preferred Stock Jun 22, 2021 Common Stock 18 By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series E-2 Preferred Stock Jun 22, 2021 Common Stock 30.5K By Battery Ventures Select Fund I, L.P F1, F4, F6
holding CXM Series E-2 Preferred Stock Jun 22, 2021 Common Stock 3.02K By Battery Investment Partners Select Fund I, L.P. F1, F5, F6
holding CXM Series F Preferred Stock Jun 22, 2021 Common Stock 5.5K By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series F Preferred Stock Jun 22, 2021 Common Stock 55 By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series F Preferred Stock Jun 22, 2021 Common Stock 1.44M By Battery Ventures Select Fund I, L.P F1, F4, F6
holding CXM Series F Preferred Stock Jun 22, 2021 Common Stock 142K By Battery Investment Partners Select Fund I, L.P. F1, F5, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of Common Stock shall be reclassified into one share of Class B Common Stock immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock.
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"). BP IX's investment adviser is Battery Management Corp. The Reporting Person is a managing member of BP IX and may be deemed to share voting and dispositive power over the securities held by BV IX. The Reporting Person 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.
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. BP IX's investment adviser is Battery Management Corp. The Reporting Person is a managing members of BP IX and may be deemed to share voting and dispositive power over the securities held by BIP IX. The Reporting Person 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.
F4 The reported securities are owned directly by Battery Ventures Select Fund I, L.P. ("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"). BP Select I GP's investment adviser is Battery Management Corp. The Reporting Person is a managing member of BP Select I GP and may be deemed to share voting and dispositive power over the securities held by BV Select I. The Reporting Person 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
F5 The reported securities are owned directly by Battery Investment Partners Select Fund I, L.P. ("BIP Select I"). The sole general partner of BIP Select I is BP Select I GP. BP Select I GP's investment adviser is Battery Management Corp. The Reporting Person is a managing member of BP Select I GP and may be deemed to share voting and dispositive power over the securities held by BIP Select I. The Reporting Person 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.
F6 Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series D-2 Preferred Stock, Series E-1 Preferred Stock, Series E-2 Preferred Stock and Series F Stock will automatically convert into shares of Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and have no expiration date.

Remarks:

Exhibit List - Exhibit 24 - Power of Attorney