Iconiq Strategic Partners II, L.P. - Jun 22, 2021 Form 3 Insider Report for Sprinklr, Inc. (CXM)

Role
10%+ Owner
Signature
ICONIQ Strategic Partners II, L.P., By: ICONIQ Strategic Partners II GP, L.P., By: ICONIQ Strategic Partners II TT GP, Ltd., By: Kevin Foster, Title: Authorized Signatory, /s/ Kevin Foster
Stock symbol
CXM
Transactions as of
Jun 22, 2021
Transactions value $
$0
Form type
3
Date filed
6/22/2021, 07:39 PM
Next filing
Jun 29, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CXM Common Stock 759K Jun 22, 2021 Direct F1, F2, F3, F4
holding CXM Common Stock 594K Jun 22, 2021 By ICONIQ Strategic Partners II-B, L.P. F1, F3, F4, 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 B Preferred Stock Jun 22, 2021 Common Stock 2.31M Direct F1, F2, F3, F4, F6
holding CXM Series B Preferred Stock Jun 22, 2021 Common Stock 1.81M By ICONIQ Strategic Partners II-B, L.P. F1, F3, F4, F5, F6
holding CXM Series D Preferred Stock Jun 22, 2021 Common Stock 9.42M By ICONIQ Strategic Partners, L.P. F1, F3, F4, F6, F7
holding CXM Series D Preferred Stock Jun 22, 2021 Common Stock 2.36M ICONIQ Strategic Partners-B, L.P. F1, F3, F4, F6, F8
holding CXM Series D-2 Preferred Stock Jun 22, 2021 Common Stock 2.16M Direct F1, F2, F3, F4, F6
holding CXM Series D-2 Preferred Stock Jun 22, 2021 Common Stock 1.69M By ICONIQ Strategic Partners II-B, L.P. F1, F3, F4, F5, F6
holding CXM Series D-2 Preferred Stock Jun 22, 2021 Common Stock 1.27M By ICONIQ Strategic Partners, L.P. F1, F3, F4, F6, F7
holding CXM Series D-2 Preferred Stock Jun 22, 2021 Common Stock 319K By ICONIQ Strategic Partners-B, L.P. F1, F3, F4, F6, F8
holding CXM Series E-1 Preferred Stock Jun 22, 2021 Common Stock 429K Direct F1, F2, F3, F4, F6
holding CXM Series E-1 Preferred Stock Jun 22, 2021 Common Stock 336K By ICONIQ Strategic Partners II-B, L.P. F1, F3, F4, F5, F6
holding CXM Series E-2 Preferred Stock Jun 22, 2021 Common Stock 59.8K Direct F1, F2, F3, F4, F6
holding CXM Series E-2 Preferred Stock Jun 22, 2021 Common Stock 46.8K By ICONIQ Strategic Partners II-B, L.P. F1, F3, F4, F5, F6
holding CXM Series F Preferred Stock Jun 22, 2021 Common Stock 760K Direct F1, F2, F3, F4, F6
holding CXM Series F Preferred Stock Jun 22, 2021 Common Stock 595K By ICONIQ Strategic Partners II-B, L.P. F1, F3, F4, 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 shares are held by ICONIQ Strategic Partners II, L.P. ("ICONIQ II").
F3 ICONIQ Strategic Partners II GP, L.P. ("ICONIQ GP II"), is the sole general partner of ICONIQ II-B and ICONIQ II. ICONIQ Strategic Partners II TT GP, Ltd. ("ICONIQ Parent GP II") is the sole general partner of ICONIQ GP II. ICONIQ Strategic Partners GP, L.P. ("ICONIQ GP") is the sole general partner of ICONIQ and ICONIQ-B. ICONIQ Strategic Partners TT GP, Ltd. ("ICONIQ Parent GP") is the sole general partner of ICONIQ GP. Divesh Makan ("Makan") and William J.G. Griffith ("Griffith") are the sole equity holders of each of ICONIQ Parent GP II and ICONIQ Parent GP.
F4 Each of ICONIQ II GP, ICONIQ Parent GP II, ICONIQ GP, ICONIQ Parent GP, Makan and Griffith disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
F5 The shares are held by ICONIQ Strategic Partners II-B, L.P. ("ICONIQ II-B").
F6 Each share of Series B 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.
F7 The shares are held by ICONIQ Strategic Partners, L.P. ("ICONIQ").
F8 The shares are held by ICONIQ Strategic Partners-B, L.P. ("ICONIQ-B").