# EDGAR Filing Document

**Accession Number:** 0001569345
**File Stem:** 0001209191-23-019950
**Filing Date:** 2023-3
**Character Count:** 9675
**Document Hash:** 8f84ee10d5b00060c0f3ed5c952faaec
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-019950.hdr.sgml**: 20230317

**ACCESSION NUMBER**: 0001209191-23-019950

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230315

**FILED AS OF DATE**: 20230317

**DATE AS OF CHANGE**: 20230317

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Thomas Ragy
- **CENTRAL INDEX KEY:** 0001866802

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40528
- **FILM NUMBER:** 23744723

**MAIL ADDRESS:**
- **STREET 1:** C/O SPRINKLR, INC.
- **STREET 2:** 29 WEST 35TH STREET, 7TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10001
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Sprinklr, Inc.
- **CENTRAL INDEX KEY:** 0001569345
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-PREPACKAGED SOFTWARE [7372]
- **IRS NUMBER:** 454771485
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0131

**BUSINESS ADDRESS:**
- **STREET 1:** 29 WEST 35TH STREET
- **STREET 2:** 8TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10001
- **BUSINESS PHONE:** (917) 933-7800

**MAIL ADDRESS:**
- **STREET 1:** 29 WEST 35TH STREET
- **STREET 2:** 8TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10001

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Thomas Ragy<br><sub>(Last) (First) (Middle)</sub><br>C/O SPRINKLR, INC.<br>29 WEST 35TH STREET, 7TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10001<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-15 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Executive Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Sprinklr, Inc. [ CXM ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 2023-03-15 |  | C |  | 3000 | A | <sup>(1)</sup> | 550191 | D |  |
| Class A Common Stock | 2023-03-16 |  | S<sup>(2)</sup> |  | 51697 | D | 10.28<sup>(3)</sup> | 498494 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Class B Common Stock | <sup>(1)</sup> | 2023-03-15 |  | C |  |  | 3000 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 3000 | $0.00 | 29182443<sup>(4)</sup> | D |  |
| Class B Common Stock | <sup>(1)</sup> |  |  |  |  |  |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 8129863 |  | 8129863 | I | See footnote<sup>(5)</sup> |
| Class B Common Stock | <sup>(1)</sup> |  |  |  |  |  |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 13106677 |  | 13106677 | I | See footnote<sup>(6)</sup> |
| Class B Common Stock | <sup>(1)</sup> |  |  |  |  |  |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 1996523 |  | 1996523<sup>(7)</sup> | I | See footnote<sup>(8)</sup> |
| Class B Common Stock | <sup>(1)</sup> |  |  |  |  |  |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 185053 |  | 185053 | I | See footnote<sup>(9)</sup> |

---

### Footnotes:

(1) 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. If the Reporting Person is terminated for cause, each share of Class B common stock will automatically convert to Class A Common Stock.

(2) Represents the number of shares required to be sold to cover the statutory tax withholding obligations in connection with the vesting of the restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of minimum statutory tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary sale by the Reporting Person.

(3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.20 to $10.39 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.

(4) 794,558 shares were transferred from the Neelu Paul, RT 2019 Grantor Retained Annuity Trust (the "2019 Trust") to the Reporting Person. The transfer was a change in the form of beneficial ownership and was exempt from reporting pursuant to Rule 16a-13. Additionally, there was a scrivener's error on the Reporting Person's previous filings which resulted in the Reporting Person overreporting the number of Class B Common Stock beneficially owned. This represents the number of shares held by the Reporting Person as of the date of this filing.

(5) The securities are held by Thomas 2014 Family Trust (the "2014 Trust"). The Reporting Person is a trustee of the 2014 Trust.

(6) The securities are held by Thomas Family 2017 Irrevocable Trust (the "2017 Trust"). The Reporting Person is a trustee of the 2017 Trust.

(7) 794,558 shares were transferred from the 2019 Trust to the Reporting Person. The transfer was a change in the form of beneficial ownership and was exempt from reporting pursuant to Rule 16a-13. This represents the number of shares held by the 2019 Trust as of the date of this filing.

(8) The securities are held by the 2019 Trust. The Reporting Person is a trustee of the 2019 Trust.

(9) The securities are held by the Neelu Paul, Trustee of the RT 2021 Grantor Retained Annuity Trust, dated June 8, 2021 (the "2021 Trust"). The Reporting Person is a trustee of the 2021 Trust.

**Signature:** /s/ Jason Minio, Attorney-in-Fact  
**Date:** 2023-03-17

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**