UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Convertible Preferred Stock | (2) | (2) | Common Stock (1) (2) | 5,455,519 | $ (2) | I | See Footnote (3) |
Series B Convertible Preferred Stock | (2) | (2) | Common Stock (1) (2) | 10,347,669 | $ (2) | I | See Footnote (3) |
Series C Convertible Preferred Stock | (2) | (2) | Common Stock (1) (2) | 4,903,524 | $ (2) | I | See Footnote (3) |
Series D Convertible Preferred Stock | (2) | (2) | Common Stock (1) (2) | 1,393,143 | $ (2) | I | See Footnote (3) |
Series D-2 Convertible Preferred Stock | (2) | (2) | Common Stock (1) (2) | 18,525 | $ (2) | I | See Footnote (3) |
Series E-1 Convertible Preferred Stock | (2) | (2) | Common Stock (1) (2) | 682,186 | $ (2) | I | See Footnote (3) |
Series E-2 Convertible Preferred Stock | (2) | (2) | Common Stock (1) (2) | 111,752 | $ (2) | I | See Footnote (3) |
Series F Convertible Preferred Stock | (2) | (2) | Common Stock (1) (2) | 1,867,825 | $ (2) | I | See Footnote (3) |
Series G-1 Convertible Preferred Stock | (2) | (2) | Common Stock (1) (2) | 10,810,810 | $ (2) | I | See Footnote (3) |
Series G-2 Convertible Preferred Stock | (2) | (2) | Common Stock (1) (2) | 9,090,909 | $ (2) | I | See Footnote (3) |
Warrant | 10/07/2020 | 10/07/2025 | Common Stock (1) | 2,500,000 | $ 10 | I | See Footnote (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
H&F Corporate Investors IX, Ltd. 415 MISSION STREET, SUITE 5700 SAN FRANCISCO, CA 94105 |
X | |||
Hellman & Friedman Investors IX, L.P. 415 MISSION STREET, SUITE 5700 SAN FRANCISCO, CA 94105 |
X | |||
Hellman & Friedman Capital Partners IX, L.P. 415 MISSION STREET, SUITE 5700 SAN FRANCISCO, CA 94105 |
X | |||
H&F Splash Holdings IX GP, LLC 415 MISSION STREET, SUITE 5700 SAN FRANCISCO, CA 94105 |
X | |||
H&F Splash Holdings IX, L.P. 415 MISSION STREET, SUITE 5700 SAN FRANCISCO, CA 94105 |
X |
H&F CORPORATE INVESTORS IX, LTD. By: /s/ Tarim Wasim Name: Tarim Wasim Title: Vice President | 06/22/2021 | |
**Signature of Reporting Person | Date | |
HELLMAN & FRIEDMAN INVESTORS IX, L.P. By: H&F Corporate Investors IX, Ltd., as general partner By: /s/ Tarim Wasim Name: Tarim Wasim Title: Vice President | 06/22/2021 | |
**Signature of Reporting Person | Date | |
HELLMAN & FRIEDMAN CAPITAL PARTNERS IX, L.P. By: Hellman & Friedman Investors IX, L.P., as general partner By: H&F Corporate Investors IX, Ltd., as general partner By: /s/ Tarim Wasim Name: Tarim Wasim Title: Vice President | 06/22/2021 | |
**Signature of Reporting Person | Date | |
H&F SPLASH HOLDINGS IX GP LLC By: Hellman & Friedman Capital Partners IX, L.P., as controlling member By: Hellman & Friedman Investors IX, L.P., as GP By: H&F Corporate Investors IX, Ltd., as GP By: /s/ Tarim Wasim Name: Tarim Wasim Title: Vice President | 06/22/2021 | |
**Signature of Reporting Person | Date | |
H&F SPLASH HOLDINGS IX, L.P. By: H&F Splash Holdings IX GP, LLC, GP By: Hellman & Friedman Capital Partners IX, L.P., contr. mem. By: Hellman & Friedman Investors IX, L.P., GP By: H&F Corporate Investors IX, Ltd., GP By: /s/ Tarim Wasim Title: VP | 06/22/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | Prior to the closing of the initial public offering of Class A common stock, par value $0.00003 per share ("Class A Common Stock") of Sprinklr, Inc. (the "Issuer"), all shares of common stock, par value $0.00003 per share ("Common Stock") will be reclassified into shares of the Issuer's Class B common stock, par value $0.00003 ("Class B Common Stock"). Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and will convert automatically following 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 then outstanding Class A and Class B common stock subject to certain timing criteria. |
(2) | Shares of Convertible Preferred Stock are convertible, at the option of the holder or automatically immediately prior to the closing of the initial public offering of the Issuer, into shares of Common Stock on a one-for one-basis. Immediately thereafter, but prior to the closing of the initial public offering of the Issuer, all shares of Common Stock will be reclassified into shares of Class B Common Stock. Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and automatically following 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 then outstanding Class A and Class B common stock subject to certain timing criteria. |
(3) | Reflects securities directly held by H&F Splash Holdings IX, L.P. ("H&F Splash Holdings IX"). H&F Splash Holdings IX GP, LLC ("GPLLC") is the general partner of H&F Splash Holdings IX. Hellman & Friedman Capital Partners IX, L.P. ("HFCP IX") is the controlling member of GPLLC. Hellman & Friedman Investors IX, L.P. ("H&F Investors IX") is the general partner of HFCP IX. H&F Corporate Investors IX, Ltd. ("H&F IX") is the general partner of H&F Investors IX. |
Remarks: The Reporting Persons state that this filing shall not be an admission that the Reporting Persons are the beneficial owners of any of the securities reported herein, and each Reporting Person disclaims beneficial ownership of such securities except to the extent of such Reporting Person's pecuniary interest therein. |