Roger H. Lee - 22 Jun 2021 Form 3 Insider Report for Sprinklr, Inc. (CXM)

Role
10%+ Owner
Signature
/s/ Roger H. Lee
Issuer symbol
CXM
Transactions as of
22 Jun 2021
Net transactions value
$0
Form type
3
Filing time
22 Jun 2021, 19:28:51 UTC
Next filing
29 Jun 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CXM Common Stock 29,703 22 Jun 2021 By Battery Ventures IX, L.P. F1, F2
holding CXM Common Stock 297 22 Jun 2021 By Battery Investment Partners IX, LLC F1, F3
holding CXM Common Stock 862,093 22 Jun 2021 By Battery Ventures Select Fund I, L.P F1, F4
holding CXM Common Stock 85,262 22 Jun 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 22 Jun 2021 Common Stock 19,846,041 By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series A Preferred Stock 22 Jun 2021 Common Stock 198,440 By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series B Preferred Stock 22 Jun 2021 Common Stock 14,321,250 By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series B Preferred Stock 22 Jun 2021 Common Stock 143,199 By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series C Preferred Stock 22 Jun 2021 Common Stock 6,473,307 By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series C Preferred Stock 22 Jun 2021 Common Stock 64,728 By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series D Preferred Stock 22 Jun 2021 Common Stock 287,166 By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series D Preferred Stock 22 Jun 2021 Common Stock 2,871 By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series D-2 Preferred Stock 22 Jun 2021 Common Stock 91,707 By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series D-2 Preferred Stock 22 Jun 2021 Common Stock 918 By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series E-1 Preferred Stock 22 Jun 2021 Common Stock 14,289 By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series E-1 Preferred Stock 22 Jun 2021 Common Stock 144 By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series E-1 Preferred Stock 22 Jun 2021 Common Stock 78,340 By Battery Ventures Select Fund I, L.P F1, F4, F6
holding CXM Series E-1 Preferred Stock 22 Jun 2021 Common Stock 7,748 By Battery Investment Partners Select Fund I, L.P. F1, F5, F6
holding CXM Series E-2 Preferred Stock 22 Jun 2021 Common Stock 1,773 By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series E-2 Preferred Stock 22 Jun 2021 Common Stock 18 By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series E-2 Preferred Stock 22 Jun 2021 Common Stock 30,499 By Battery Ventures Select Fund I, L.P F1, F4, F6
holding CXM Series E-2 Preferred Stock 22 Jun 2021 Common Stock 3,016 By Battery Investment Partners Select Fund I, L.P. F1, F5, F6
holding CXM Series F Preferred Stock 22 Jun 2021 Common Stock 5,498 By Battery Ventures IX, L.P. F1, F2, F6
holding CXM Series F Preferred Stock 22 Jun 2021 Common Stock 55 By Battery Investment Partners IX, LLC F1, F3, F6
holding CXM Series F Preferred Stock 22 Jun 2021 Common Stock 1,436,205 By Battery Ventures Select Fund I, L.P F1, F4, F6
holding CXM Series F Preferred Stock 22 Jun 2021 Common Stock 142,042 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. Neeraj Agrawal, Michael Brown, Jesse Feldman, Roger Lee, R. David Tabors and Scott 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, her 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.
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. Neeraj Agrawal, Michael Brown, Jesse Feldman, Roger Lee, R. David Tabors and Scott 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, her 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.
F4 The reported securities are owned directly by Battery Ventures Select Fund I, L.P. ("BV Sel I"). The sole general partner of BV Sel I is Battery Partners Select Fund I, L.P. ("BP Sel I"). The general partner of BP Sel I is Battery Partners Select Fund I GP, LLC ("BP Sel I GP"). BP Sel I GP's investment adviser is Battery Management Corp. Neeraj Agrawal, Michael Brown, Morad Elhafed, Jesse Feldman, Russell Fleischer, Roger Lee, Itzik Parnafes, Chelsea Stoner, Dharmesh Thakker, R. David Tabors and Scott Tobin are the managing members of BP Sel I GP and may be deemed to share voting and dispositive power over the securities held by BV Sel I. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his, her 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.
F5 The reported securities are owned directly by Battery Investment Partners Select Fund I, L.P. ("BIP Sel I"). The sole general partner of BIP Sel I is BP Sel I GP. BP Sel I GP's investment adviser is Battery Management Corp. Neeraj Agrawal, Michael Brown, Morad Elhafed, Jesse Feldman, Russell Fleischer, Roger Lee, Itzik Parnafes, Chelsea Stoner, Dharmesh Thakker, R. David Tabors and Scott Tobin are the managing members and officers of BP Sel I GP and may be deemed to share voting and dispositive power over the securities held by BIP Sel I. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his, her 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.
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:

1 of 2: The number of joint filers exceeds the EDGAR maximum of 10 joint filers per Form. This Form 3 is being filed in conjunction with a Form 3 being filed by Battery Ventures IX, L.P. and other filing persons.