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person · Reporting owner

Agrawal Neeraj

Disclosed activity across 7 companies

Tapewire entity
32862
SEC CIK
0001532809

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Amplitude, Inc.AMPL · Entity 456610% ownerJanuary 02, 2024January 09, 2024
Braze, Inc.BRZE · Entity 4102DirectorJune 30, 2026July 02, 2026
CHAMPIONS ONCOLOGY, INC.CSBR · Entity 701310% ownerMarch 11, 2020March 12, 2020
Sprinklr, Inc.CXM · Entity 4581DirectorOctober 06, 2025October 08, 2025
Wag! Group Co.PET · Entity 7742410% ownerAugust 09, 2022August 19, 2022
Wayfair Inc.W · Entity 3426DirectorNovember 17, 2017November 21, 2017

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures Select Fund I, L.P.327,766 Reported balance After 2024-01-02 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2024-01-02 · Sale · Disposed 33,333 · Balance 327,766

F1: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $12.45 to $12.69 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 securities sold at each separate price within the range set forth in this footnote.

F2: Shares held by Battery Ventures Select Fund I, L.P. ("BV Select I"). Battery Partners Select Fund I, L.P. ("BP Select I") is the general partner of BV Select I, Battery Partners Select Fund I GP, LLC ("BP Select I GP") is the general partner of BP Select I and may be deemed to beneficially own the shares held by BV Select I. Neeraj Agrawal, Michael Brown, Jesse Feldman, Russell Fleischer, Roger Lee, Chelsea Stoner, Dharmesh Thakker, and Scott Tobin (collectively the "BP XI Managing Members") together with Morad Elhafed (the "BP Select Managing Members") are the managing members of BP Select I GP and may be deemed to share voting and dispositive power over the securities held by BV Select I.

F3: 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.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Investment Partners XI, LLC154,579 Reported balance Holding disclosure · report date 2024-01-02 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 154,579

F4: Shares held by Battery Investment Partners XI, LLC ("BIP XI"). Battery Partners XI, LLC ("BP XI") is the managing member of BIP XI and may be deemed to beneficially own the shares held by BIP XI. The BP XI Managing Members are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BIP XI. 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.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures XI-A, L.P.3,335,348 Reported balance Holding disclosure · report date 2024-01-02 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 3,335,348

F5: Shares held by Battery Ventures XI-A, L.P. ("BV XI-A"). BP XI is the general partner of BV XI-A and may be deemed to beneficially own the shares held by BV XI-A. The BP XI Managing Members are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BP XI-A. 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.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures XI-B, L.P.881,274 Reported balance Holding disclosure · report date 2024-01-02 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 881,274

F6: Shares held by Battery Ventures XI-B, L.P. ("BV XI-B"). BP XI is the general partner of BV XI-B and may be deemed to beneficially own the shares held by BV XI-B. The BP XI Managing Members are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BP XI-B. 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.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures XI-A Side Fund, L.P.3,465,221 Reported balance Holding disclosure · report date 2024-01-02 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 3,465,221

F7: Shares held by Battery Ventures XI-A Side Fund, L.P. ("BV XI-A SF"). Battery Partners XI Side Fund, LLC ("BP XI SF") is the general partner of BV XI-A SF and may be deemed to beneficially own the shares held by BV XI-A SF. The BP XI Managing Members are the managing members of BP XI SF and may be deemed to share voting and dispositive power over the securities held by BP XI-A SF. 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.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures XI-B Side Fund, L.P.751,403 Reported balance Holding disclosure · report date 2024-01-02 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 751,403

F8: Shares held by Battery Ventures XI-B Side Fund, L.P. ("BV XI-B SF"). BP XI SF is the general partner of BV XI-B SF and may be deemed to beneficially own the shares held by BV XI-B SF. The BP XI Managing Members are the managing members of BP XI SF and may be deemed to share voting and dispositive power over the securities held by BP XI-B SF. 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.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Investment Partners Select Fund I, L.P.35,713 Reported balance Holding disclosure · report date 2024-01-02 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 35,713

F9: Shares held by Battery Investment Partners Select Fund I, L.P. ("BIP Select I"). BP Select I GP is the general partner of BIP Select I and may be deemed to beneficially own the shares held by BP Select I. The BP Select Managing Members are the managing members of BP Select I GP and may be deemed to share voting and dispositive power over the securities held by BIP Select 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.

Class A Common StockSEC Table I · non-derivativeDirect51,769 Reported balance Holding disclosure · report date 2024-01-02 · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · Balance 51,769

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F12: Shares are held by Neeraj Agrawal.

Class A Common StockSEC Table I · non-derivativeDirect31,741 Reported balance Holding disclosure · report date 2024-01-02 · row 10 Holding and transaction disclosures are not merged.
1 source row

Row 10 · Balance 31,741

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F15: Shares are held by Michael M. Brown.

Class A Common StockSEC Table I · non-derivativeDirect67,226 Reported balance Holding disclosure · report date 2024-01-02 · row 13 Holding and transaction disclosures are not merged.
1 source row

Row 13 · Balance 67,226

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F13: The shares held by the Reporting Person reflect the receipt of shares pursuant to a pro rata distribution in kind, effected by BIP XI to its members for no additional consideration, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F18: Shares are held by Jesse Feldman.

Class A Common StockSEC Table I · non-derivativeDirect63,515 Reported balance Holding disclosure · report date 2024-01-02 · row 15 Holding and transaction disclosures are not merged.
1 source row

Row 15 · Balance 63,515

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F13: The shares held by the Reporting Person reflect the receipt of shares pursuant to a pro rata distribution in kind, effected by BIP XI to its members for no additional consideration, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F20: Shares are held by Russell Fleischer.

Class A Common StockSEC Table I · non-derivativeDirect38,157 Reported balance Holding disclosure · report date 2024-01-02 · row 19 Holding and transaction disclosures are not merged.
1 source row

Row 19 · Balance 38,157

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F24: Shares are held by Scott R. Tobin.

Class A Common StockSEC Table I · non-derivativeDirect10,820 Reported balance Holding disclosure · report date 2024-01-02 · row 21 Holding and transaction disclosures are not merged.
1 source row

Row 21 · Balance 10,820

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F26: Shares are held by Morad Elhafed.

Class A Common StockSEC Table I · non-derivativeIndirectBy Trust59,622 Reported balance Holding disclosure · report date 2024-01-02 · row 9 Holding and transaction disclosures are not merged.
1 source row

Row 9 · Balance 59,622

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F13: The shares held by the Reporting Person reflect the receipt of shares pursuant to a pro rata distribution in kind, effected by BIP XI to its members for no additional consideration, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F14: Shares are held by the Neeraj Agrawal Irrevocable GST Trust (the "Agrawal Trust"), of which Mr. Agrawal's spouse is the trustee. Mr. Agrawal disclaims beneficial ownership of the securities held by the Agrawal Trust except to the extent of his proportionate pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Trust19,819 Reported balance Holding disclosure · report date 2024-01-02 · row 11 Holding and transaction disclosures are not merged.
1 source row

Row 11 · Balance 19,819

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F13: The shares held by the Reporting Person reflect the receipt of shares pursuant to a pro rata distribution in kind, effected by BIP XI to its members for no additional consideration, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F16: Shares are held by The Michael M. Brown Irrevocable GST Trust of 2013 (the "Brown Trust"), of which Michael M. Brown's spouse is the trustee. Mr. Brown disclaims beneficial ownership of the shares held by the Brown Trust except to the extent of his proportionate pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Trust25,544 Reported balance Holding disclosure · report date 2024-01-02 · row 12 Holding and transaction disclosures are not merged.
1 source row

Row 12 · Balance 25,544

F17: Shares are held by The Tamsen Brown 2020 Irrevocable Trust (the "Tamsen Brown Trust"), of which Michael M. Brown is the trustee. Mr. Brown disclaims beneficial ownership of the shares held by the Tamsen Brown Trust except to the extent of his proportionate pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Trust7,160 Reported balance Holding disclosure · report date 2024-01-02 · row 14 Holding and transaction disclosures are not merged.
1 source row

Row 14 · Balance 7,160

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F19: Shares are held by The Jesse Feldman Irrevocable Trust of 2016 (the "Feldman Trust"), of which Jesse Feldman's spouse is the trustee. Mr. Feldman disclaims beneficial ownership of the shares held by the Feldman Trust except to the extent of his proportionate pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Trust75,683 Reported balance Holding disclosure · report date 2024-01-02 · row 16 Holding and transaction disclosures are not merged.
1 source row

Row 16 · Balance 75,683

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F13: The shares held by the Reporting Person reflect the receipt of shares pursuant to a pro rata distribution in kind, effected by BIP XI to its members for no additional consideration, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F21: Shares are held by The Roger and Clarissa Lee Irrevocable GST Trust (the "Lee Trust"), of which Roger Lee's brother is the trustee. Mr. Lee disclaims beneficial ownership of the shares held by the Lee Trust except to the extent of his proportionate pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Trust35,709 Reported balance Holding disclosure · report date 2024-01-02 · row 17 Holding and transaction disclosures are not merged.
1 source row

Row 17 · Balance 35,709

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F22: Shares are held by The Lee Family Trust, of which Roger H. Lee is a co-trustee. Mr. Lee disclaims beneficial ownership of these securities held by The Lee Family Trust except to the extent of his proportionate pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Trust104,931 Reported balance Holding disclosure · report date 2024-01-02 · row 18 Holding and transaction disclosures are not merged.
1 source row

Row 18 · Balance 104,931

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F13: The shares held by the Reporting Person reflect the receipt of shares pursuant to a pro rata distribution in kind, effected by BIP XI to its members for no additional consideration, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F23: Shares are held by the Stoner Spiller Family Trust (the "Stoner Trust"), of which Chelsea R. Stoner is a trustee. Ms. Stoner disclaims beneficial ownership of the shares held by the Stoner Trust except to the extent of her proportionate pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Trust17,694 Reported balance Holding disclosure · report date 2024-01-02 · row 20 Holding and transaction disclosures are not merged.
1 source row

Row 20 · Balance 17,694

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F13: The shares held by the Reporting Person reflect the receipt of shares pursuant to a pro rata distribution in kind, effected by BIP XI to its members for no additional consideration, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F25: Shares are held by The Scott R. Tobin Irrevocable GST Trust of 2013, of which Scott R. Tobin is a trustee. Mr. Tobin disclaims beneficial ownership of these securities except to the extent of his proportionate pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $12.45 to $12.69 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 securities sold at each separate price within the range set forth in this footnote.

F2: Shares held by Battery Ventures Select Fund I, L.P. ("BV Select I"). Battery Partners Select Fund I, L.P. ("BP Select I") is the general partner of BV Select I, Battery Partners Select Fund I GP, LLC ("BP Select I GP") is the general partner of BP Select I and may be deemed to beneficially own the shares held by BV Select I. Neeraj Agrawal, Michael Brown, Jesse Feldman, Russell Fleischer, Roger Lee, Chelsea Stoner, Dharmesh Thakker, and Scott Tobin (collectively the "BP XI Managing Members") together with Morad Elhafed (the "BP Select Managing Members") are the managing members of BP Select I GP and may be deemed to share voting and dispositive power over the securities held by BV Select I.

F3: 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: Shares held by Battery Investment Partners XI, LLC ("BIP XI"). Battery Partners XI, LLC ("BP XI") is the managing member of BIP XI and may be deemed to beneficially own the shares held by BIP XI. The BP XI Managing Members are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BIP XI. 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: Shares held by Battery Ventures XI-A, L.P. ("BV XI-A"). BP XI is the general partner of BV XI-A and may be deemed to beneficially own the shares held by BV XI-A. The BP XI Managing Members are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BP XI-A. 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: Shares held by Battery Ventures XI-B, L.P. ("BV XI-B"). BP XI is the general partner of BV XI-B and may be deemed to beneficially own the shares held by BV XI-B. The BP XI Managing Members are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BP XI-B. 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.

F7: Shares held by Battery Ventures XI-A Side Fund, L.P. ("BV XI-A SF"). Battery Partners XI Side Fund, LLC ("BP XI SF") is the general partner of BV XI-A SF and may be deemed to beneficially own the shares held by BV XI-A SF. The BP XI Managing Members are the managing members of BP XI SF and may be deemed to share voting and dispositive power over the securities held by BP XI-A SF. 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.

F8: Shares held by Battery Ventures XI-B Side Fund, L.P. ("BV XI-B SF"). BP XI SF is the general partner of BV XI-B SF and may be deemed to beneficially own the shares held by BV XI-B SF. The BP XI Managing Members are the managing members of BP XI SF and may be deemed to share voting and dispositive power over the securities held by BP XI-B SF. 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.

F9: Shares held by Battery Investment Partners Select Fund I, L.P. ("BIP Select I"). BP Select I GP is the general partner of BIP Select I and may be deemed to beneficially own the shares held by BP Select I. The BP Select Managing Members are the managing members of BP Select I GP and may be deemed to share voting and dispositive power over the securities held by BIP Select 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.

F10: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A SF and BV XI-B SF to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A SF and BV XI-B SF, for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F11: The shares held by the Reporting Person include the receipt of shares pursuant to pro rata distributions in kind, effected by each of BV XI-A and BV XI-B to its general partner and limited partners for no additional consideration, and the further pro rata distribution in kind by the general partner of BV XI-A and BV XI-B , for no additional consideration to its members, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F12: Shares are held by Neeraj Agrawal.

F13: The shares held by the Reporting Person reflect the receipt of shares pursuant to a pro rata distribution in kind, effected by BIP XI to its members for no additional consideration, including the Reporting Person. The receipt of such shares by the Reporting Person constituted a change in form of ownership from indirect to direct, which was exempt from reporting pursuant to Rule 16a-13.

F14: Shares are held by the Neeraj Agrawal Irrevocable GST Trust (the "Agrawal Trust"), of which Mr. Agrawal's spouse is the trustee. Mr. Agrawal disclaims beneficial ownership of the securities held by the Agrawal Trust except to the extent of his proportionate pecuniary interest therein.

F15: Shares are held by Michael M. Brown.

F16: Shares are held by The Michael M. Brown Irrevocable GST Trust of 2013 (the "Brown Trust"), of which Michael M. Brown's spouse is the trustee. Mr. Brown disclaims beneficial ownership of the shares held by the Brown Trust except to the extent of his proportionate pecuniary interest therein.

F17: Shares are held by The Tamsen Brown 2020 Irrevocable Trust (the "Tamsen Brown Trust"), of which Michael M. Brown is the trustee. Mr. Brown disclaims beneficial ownership of the shares held by the Tamsen Brown Trust except to the extent of his proportionate pecuniary interest therein.

F18: Shares are held by Jesse Feldman.

F19: Shares are held by The Jesse Feldman Irrevocable Trust of 2016 (the "Feldman Trust"), of which Jesse Feldman's spouse is the trustee. Mr. Feldman disclaims beneficial ownership of the shares held by the Feldman Trust except to the extent of his proportionate pecuniary interest therein.

F20: Shares are held by Russell Fleischer.

F21: Shares are held by The Roger and Clarissa Lee Irrevocable GST Trust (the "Lee Trust"), of which Roger Lee's brother is the trustee. Mr. Lee disclaims beneficial ownership of the shares held by the Lee Trust except to the extent of his proportionate pecuniary interest therein.

F22: Shares are held by The Lee Family Trust, of which Roger H. Lee is a co-trustee. Mr. Lee disclaims beneficial ownership of these securities held by The Lee Family Trust except to the extent of his proportionate pecuniary interest therein.

F23: Shares are held by the Stoner Spiller Family Trust (the "Stoner Trust"), of which Chelsea R. Stoner is a trustee. Ms. Stoner disclaims beneficial ownership of the shares held by the Stoner Trust except to the extent of her proportionate pecuniary interest therein.

F24: Shares are held by Scott R. Tobin.

F25: Shares are held by The Scott R. Tobin Irrevocable GST Trust of 2013, of which Scott R. Tobin is a trustee. Mr. Tobin disclaims beneficial ownership of these securities except to the extent of his proportionate pecuniary interest therein.

F26: Shares are held by Morad Elhafed.

Braze, Inc.

Report date June 30, 2026 · Filed July 02, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect202,522 Reported balance After 2026-06-30 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-06-30 · Grant · Acquired 7,753 · Balance 202,522

F1: The reported securities represent a restricted stock unit ("RSU") award and shall vest on the earlier of (i) June 30, 2027, or (ii) the date immediately preceding the date of the Issuer's 2027 annual meeting of stockholders, in each case subject to the Reporting Person's continuous service on such vesting date.

F2: Of the reported shares, 7,753 shares are represented by restricted stock units.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Investment Partners XI, LLC33,116 Reported balance Holding disclosure · report date 2026-06-30 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 33,116

F3: Securities are held by Battery Investment Partners XI, LLC ("BIP XI"). The sole managing member of BIP XI is Battery Partners XI, LLC ("BP XI"). The Reporting Person is a managing member of BP XI and may be deemed to share voting and dispositive power over these securities. 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 or for any other purpose.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures XI-A, L.P.714,569 Reported balance Holding disclosure · report date 2026-06-30 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 714,569

F4: Securities are held by Battery Ventures XI-A, L.P. ("BV XI-A"). The sole general partner of BV XI-A is BP XI. The Reporting Person is a managing member of BP XI and may be deemed to share voting and dispositive power over these securities. 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 or for any other purpose.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures XI-B, L.P.188,805 Reported balance Holding disclosure · report date 2026-06-30 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 188,805

F5: Securities are held by Battery Ventures XI-B, L.P. ("BV XI-B"). The sole general partner of BV XI-B is BP XI. The Reporting Person is a managing member of BP XI and may be deemed to share voting and dispositive power over these securities. 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 or for any other purpose.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures XI-A Side Fund, L.P.742,400 Reported balance Holding disclosure · report date 2026-06-30 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 742,400

F6: Securities are held by Battery Ventures XI-A Side Fund, L.P. ("BV XI-A SF"). The sole general partner of BV XI-A SF is Battery Partners XI Side Fund, LLC ("BP XI SF"). The Reporting Person is a managing member of BP XI SF and may be deemed to share voting and dispositive power over these securities. 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 or for any other purpose.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures XI-B Side Fund, L.P.160,974 Reported balance Holding disclosure · report date 2026-06-30 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 160,974

F7: Securities are held by Battery Ventures XI-B Side Fund, L.P. ("BV XI-B SF"). The sole general partner of BV XI-B SF is BP XI SF. The Reporting Person is a managing member of BP XI SF and may be deemed to share voting and dispositive power over these securities. 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 or for any other purpose.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Investment Partners Select Fund I, L.P.250,958 Reported balance Holding disclosure · report date 2026-06-30 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 250,958

F8: Securities are held by Battery Investment Partners Select Fund I, L.P. ("BIP Select I"). The sole general partner of BIP Select I is Battery Partners Select Fund I GP, LLC ("BP Select I GP"). The Reporting Person is a managing member of BP Select I GP and may be deemed to share voting and dispositive power over these securities. 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 or for any other purpose.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures Select Fund I, L.P.2,537,467 Reported balance Holding disclosure · report date 2026-06-30 · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · Balance 2,537,467

F9: Securities are held 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 BP Select I GP. The Reporting Person is a managing member of BP Select I GP and may be deemed to share voting and dispositive power over theses securities. 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 or for any other purpose.

Class A Common StockSEC Table I · non-derivativeIndirectBy Trust388,123 Reported balance Holding disclosure · report date 2026-06-30 · row 9 Holding and transaction disclosures are not merged.
1 source row

Row 9 · Balance 388,123

F10: Securities are held by an irrevocable GST trust, of which the Reporting Person's spouse is a trustee. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his proportionate pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities represent a restricted stock unit ("RSU") award and shall vest on the earlier of (i) June 30, 2027, or (ii) the date immediately preceding the date of the Issuer's 2027 annual meeting of stockholders, in each case subject to the Reporting Person's continuous service on such vesting date.

F2: Of the reported shares, 7,753 shares are represented by restricted stock units.

F3: Securities are held by Battery Investment Partners XI, LLC ("BIP XI"). The sole managing member of BIP XI is Battery Partners XI, LLC ("BP XI"). The Reporting Person is a managing member of BP XI and may be deemed to share voting and dispositive power over these securities. 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 or for any other purpose.

F4: Securities are held by Battery Ventures XI-A, L.P. ("BV XI-A"). The sole general partner of BV XI-A is BP XI. The Reporting Person is a managing member of BP XI and may be deemed to share voting and dispositive power over these securities. 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 or for any other purpose.

F5: Securities are held by Battery Ventures XI-B, L.P. ("BV XI-B"). The sole general partner of BV XI-B is BP XI. The Reporting Person is a managing member of BP XI and may be deemed to share voting and dispositive power over these securities. 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 or for any other purpose.

F6: Securities are held by Battery Ventures XI-A Side Fund, L.P. ("BV XI-A SF"). The sole general partner of BV XI-A SF is Battery Partners XI Side Fund, LLC ("BP XI SF"). The Reporting Person is a managing member of BP XI SF and may be deemed to share voting and dispositive power over these securities. 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 or for any other purpose.

F7: Securities are held by Battery Ventures XI-B Side Fund, L.P. ("BV XI-B SF"). The sole general partner of BV XI-B SF is BP XI SF. The Reporting Person is a managing member of BP XI SF and may be deemed to share voting and dispositive power over these securities. 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 or for any other purpose.

F8: Securities are held by Battery Investment Partners Select Fund I, L.P. ("BIP Select I"). The sole general partner of BIP Select I is Battery Partners Select Fund I GP, LLC ("BP Select I GP"). The Reporting Person is a managing member of BP Select I GP and may be deemed to share voting and dispositive power over these securities. 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 or for any other purpose.

F9: Securities are held 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 BP Select I GP. The Reporting Person is a managing member of BP Select I GP and may be deemed to share voting and dispositive power over theses securities. 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 or for any other purpose.

F10: Securities are held by an irrevocable GST trust, of which the Reporting Person's spouse is a trustee. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his proportionate pecuniary interest therein.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Funds2,135,215 Reported balance After 2020-03-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-03-11 · Other · Acquired 123,333 · Balance 2,135,215

F1: Consists of 2,114,077 shares of the Issuer's Common Stock held by Battery Ventures IX, L.P. ("BVIX") and 21,138 shares of the Issuer's Common Stock held by Battery Investment Partners IX, LLC ("BIPIX"). Battery Partners IX, LLC ("BPIX") is the sole general partner of BVIX and the sole manager of BIPIX. Battery Management Corp. ("BMC") is the investment adviser of BPIX. Neeraj Agrawal, Michael M. Brown, Jesse Feldman, Roger H. Lee, R. David Tabors and Scott R. Tobin (collectively, the "Managing Members") are the managing members of BPIX. The Managing Members are also officers of BMC (collectively, the "Officers"). The Managing Members and the Officers, in their respective capacities as such, may be deemed to have shared voting and dispositive power over the shares held by BVIX and BIPIX

F2: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectBy Funds2,421,673 Reported balance After 2020-03-11 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2020-03-11 · Other · Acquired 286,458 · Balance 2,421,673

F3: Consists of 2,397,699 shares of the Issuer's Common Stock held by BVIX and 23,974 shares of the Issuer's Common Stock held by BIPIX.

F2: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

Warrant to purchase shares of Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $4.80 · Expires 2020-03-13IndirectBy Funds0 Reported balance After 2020-03-11 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2020-03-11 · Other · Disposed 123,333 · Balance 0

F4: Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split.

F2: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

Warrant to purchase shares of Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.76 · Expires 2020-03-13IndirectBy Funds0 Reported balance After 2020-03-11 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2020-03-11 · Other · Disposed 286,458 · Balance 0

F4: Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split.

F2: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Consists of 2,114,077 shares of the Issuer's Common Stock held by Battery Ventures IX, L.P. ("BVIX") and 21,138 shares of the Issuer's Common Stock held by Battery Investment Partners IX, LLC ("BIPIX"). Battery Partners IX, LLC ("BPIX") is the sole general partner of BVIX and the sole manager of BIPIX. Battery Management Corp. ("BMC") is the investment adviser of BPIX. Neeraj Agrawal, Michael M. Brown, Jesse Feldman, Roger H. Lee, R. David Tabors and Scott R. Tobin (collectively, the "Managing Members") are the managing members of BPIX. The Managing Members are also officers of BMC (collectively, the "Officers"). The Managing Members and the Officers, in their respective capacities as such, may be deemed to have shared voting and dispositive power over the shares held by BVIX and BIPIX

F2: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

F3: Consists of 2,397,699 shares of the Issuer's Common Stock held by BVIX and 23,974 shares of the Issuer's Common Stock held by BIPIX.

F4: Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split.

Sprinklr, Inc.

Report date October 06, 2025 · Filed October 08, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures IX, L.P.0 Last balance in matching sequence After 2025-10-08 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2025-10-06 · Sale · Disposed 88,584 · Balance 282,150

F1: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $7.74 to $7.895 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 securities sold at each separate price within the range set forth in this footnote.

F2: Securities are held by Battery Ventures IX, L.P. ("BV IX"). Battery Partners IX, LLC ("BP IX") is the general partner of BV IX. The Reporting Person is a managing member of BP IX and maybe deemed to share voting and dispositive power over these securities. 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.

Row 3 · 2025-10-07 · Sale · Disposed 133,650 · Balance 148,500

F4: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $7.425 to $7.745 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 securities sold at each separate price within the range set forth in this footnote.

F2: Securities are held by Battery Ventures IX, L.P. ("BV IX"). Battery Partners IX, LLC ("BP IX") is the general partner of BV IX. The Reporting Person is a managing member of BP IX and maybe deemed to share voting and dispositive power over these securities. 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.

Row 5 · 2025-10-08 · Sale · Disposed 148,500 · Balance 0

F5: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $7.495 to $7.675 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 securities sold at each separate price within the range set forth in this footnote.

F2: Securities are held by Battery Ventures IX, L.P. ("BV IX"). Battery Partners IX, LLC ("BP IX") is the general partner of BV IX. The Reporting Person is a managing member of BP IX and maybe deemed to share voting and dispositive power over these securities. 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.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Investment Partners IX, LLC0 Last balance in matching sequence After 2025-10-08 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 2 · 2025-10-06 · Sale · Disposed 895 · Balance 2,850

F1: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $7.74 to $7.895 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 securities sold at each separate price within the range set forth in this footnote.

F3: Securities are held by Battery Investment Partners IX, LLC ("BIP IX"). BP IX is the managing member of BIP IX. The Reporting Person is a managing member of BP IX and may be deemed to share voting and dispositive power over these securities. 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.

Row 4 · 2025-10-07 · Sale · Disposed 1,350 · Balance 1,500

F4: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $7.425 to $7.745 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 securities sold at each separate price within the range set forth in this footnote.

F3: Securities are held by Battery Investment Partners IX, LLC ("BIP IX"). BP IX is the managing member of BIP IX. The Reporting Person is a managing member of BP IX and may be deemed to share voting and dispositive power over these securities. 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.

Row 6 · 2025-10-08 · Sale · Disposed 1,500 · Balance 0

F5: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $7.495 to $7.675 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 securities sold at each separate price within the range set forth in this footnote.

F3: Securities are held by Battery Investment Partners IX, LLC ("BIP IX"). BP IX is the managing member of BIP IX. The Reporting Person is a managing member of BP IX and may be deemed to share voting and dispositive power over these securities. 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.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures Select Fund I, L.P.2,180,664 Reported balance Holding disclosure · report date 2025-10-06 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 2,180,664

F6: Securities are held by Battery Ventures Select Fund I, L.P. ("BV Select I"). The 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"). The Reporting Person is a managing member of BP Select I GP and may be deemed to share voting and dispositive power over these securities. 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.

Class A Common StockSEC Table I · non-derivativeIndirectBy Battery Investment Partners Select Fund I, L.P.215,670 Reported balance Holding disclosure · report date 2025-10-06 · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · Balance 215,670

F7: Securities are held by Battery Investment Partners Select Fund I, L.P. ("BIP Select I"). The general partner of BV Select I is BP Select I GP. The Reporting Person is a managing member of BP Select I GP and may be deemed to share voting and dispositive power over these securities. 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.

Class A Common StockSEC Table I · non-derivativeIndirectBy Trust200,244 Reported balance Holding disclosure · report date 2025-10-06 · row 9 Holding and transaction disclosures are not merged.
1 source row

Row 9 · Balance 200,244

F8: Securities are held by the Neeraj Agrawal Irrevocable GST Trust of 2013, of which the Reporting Person's spouse is the trustee. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his proportionate pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeDirect663,143 Reported balance Holding disclosure · report date 2025-10-06 · row 10 Holding and transaction disclosures are not merged.
1 source row

Row 10 · Balance 663,143

F9: The securities held by the Reporting Person prior to the transactions reported herein reflect the receipt of securities pursuant to pro rata distributions in kind, effected by BP IX to its members for no additional consideration, including the Reporting Person. The receipt of such securities by the Reporting Person constituted a change in form of ownership and, therefore, was not required to be reported pursuant to Section 16.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $7.74 to $7.895 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 securities sold at each separate price within the range set forth in this footnote.

F2: Securities are held by Battery Ventures IX, L.P. ("BV IX"). Battery Partners IX, LLC ("BP IX") is the general partner of BV IX. The Reporting Person is a managing member of BP IX and maybe deemed to share voting and dispositive power over these securities. 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: Securities are held by Battery Investment Partners IX, LLC ("BIP IX"). BP IX is the managing member of BIP IX. The Reporting Person is a managing member of BP IX and may be deemed to share voting and dispositive power over these securities. 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 price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $7.425 to $7.745 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 securities sold at each separate price within the range set forth in this footnote.

F5: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $7.495 to $7.675 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 securities sold at each separate price within the range set forth in this footnote.

F6: Securities are held by Battery Ventures Select Fund I, L.P. ("BV Select I"). The 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"). The Reporting Person is a managing member of BP Select I GP and may be deemed to share voting and dispositive power over these securities. 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.

F7: Securities are held by Battery Investment Partners Select Fund I, L.P. ("BIP Select I"). The general partner of BV Select I is BP Select I GP. The Reporting Person is a managing member of BP Select I GP and may be deemed to share voting and dispositive power over these securities. 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.

F8: Securities are held by the Neeraj Agrawal Irrevocable GST Trust of 2013, of which the Reporting Person's spouse is the trustee. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his proportionate pecuniary interest therein.

F9: The securities held by the Reporting Person prior to the transactions reported herein reflect the receipt of securities pursuant to pro rata distributions in kind, effected by BP IX to its members for no additional consideration, including the Reporting Person. The receipt of such securities by the Reporting Person constituted a change in form of ownership and, therefore, was not required to be reported pursuant to Section 16.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Battery Investment Partners XI, LLC69,368 Reported balance Holding disclosure · report date 2022-08-09 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 69,368

F1: In connection with the merger of Wag Labs, Inc. into CHW Merger Sub, Inc. with Wag Labs, Inc. being the surviving entity and becoming a subsidiary of Wag! Group Co. (the "Business Combination"), the Business Combination Agreement provides that certain eligible company equity holders will receive earn-out shares as additional consideration for the Company interests acquired in connection with the business combination, for no consideration, after certain triggering events as defined in the Business Combination Agreement. The Reporting Persons' rights to receive additional shares pursuant to this earn-out right became fixed on August 9, 2022, the effective date of the Business Combination.

F2: Shares held by Battery Investment Partners XI, LLC ("BIP XI"). Battery Partners XI, LLC ("BP XI") is the managing member of BIP XI and may be deemed to beneficially own the shares held by BIP XI. Neeraj Agrawal, Michael Brown, Jesse Feldman, Russell Fleischer, Roger Lee, Chelsea Stoner, Dharmesh Thakker, and Scott Tobin (collectively the "BP XI Managing Members") are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BIP XI. 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. Mr. Lee is a director of the Issuer and files separate Section 16 reports.

Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures XI-A, L.P.1,496,758 Reported balance Holding disclosure · report date 2022-08-09 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 1,496,758

F1: In connection with the merger of Wag Labs, Inc. into CHW Merger Sub, Inc. with Wag Labs, Inc. being the surviving entity and becoming a subsidiary of Wag! Group Co. (the "Business Combination"), the Business Combination Agreement provides that certain eligible company equity holders will receive earn-out shares as additional consideration for the Company interests acquired in connection with the business combination, for no consideration, after certain triggering events as defined in the Business Combination Agreement. The Reporting Persons' rights to receive additional shares pursuant to this earn-out right became fixed on August 9, 2022, the effective date of the Business Combination.

F3: Shares held by Battery Ventures XI-A, L.P. ("BV XI-A"). BP XI is the general partner of BV XI-A and may be deemed to beneficially own the shares held by BV XI-A. The BP XI Managing Members are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BP XI-A. 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. Mr. Lee is a director of the Issuer and files separate Section 16 reports.

Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures XI-B, L.P.395,478 Reported balance Holding disclosure · report date 2022-08-09 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 395,478

F1: In connection with the merger of Wag Labs, Inc. into CHW Merger Sub, Inc. with Wag Labs, Inc. being the surviving entity and becoming a subsidiary of Wag! Group Co. (the "Business Combination"), the Business Combination Agreement provides that certain eligible company equity holders will receive earn-out shares as additional consideration for the Company interests acquired in connection with the business combination, for no consideration, after certain triggering events as defined in the Business Combination Agreement. The Reporting Persons' rights to receive additional shares pursuant to this earn-out right became fixed on August 9, 2022, the effective date of the Business Combination.

F4: Shares held by Battery Ventures XI-B, L.P. ("BV XI-B"). BP XI is the general partner of BV XI-B and may be deemed to beneficially own the shares held by BV XI-B. The BP XI Managing Members are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BP XI-B. 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. Mr. Lee is a director of the Issuer and files separate Section 16 reports.

Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures XI-A Side Fund, L.P.1,555,040 Reported balance Holding disclosure · report date 2022-08-09 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 1,555,040

F1: In connection with the merger of Wag Labs, Inc. into CHW Merger Sub, Inc. with Wag Labs, Inc. being the surviving entity and becoming a subsidiary of Wag! Group Co. (the "Business Combination"), the Business Combination Agreement provides that certain eligible company equity holders will receive earn-out shares as additional consideration for the Company interests acquired in connection with the business combination, for no consideration, after certain triggering events as defined in the Business Combination Agreement. The Reporting Persons' rights to receive additional shares pursuant to this earn-out right became fixed on August 9, 2022, the effective date of the Business Combination.

F5: Shares held by Battery Ventures XI-A Side Fund, L.P. ("BV XI-A SF"). Battery Partners XI Side Fund, LLC ("BP XI SF") is the general partner of BV XI-A SF and may be deemed to beneficially own the shares held by BV XI-A SF. The BP XI Managing Members are the managing members of BP XI SF and may be deemed to share voting and dispositive power over the securities held by BP XI-A SF. 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. Mr. Lee is a director of the Issuer and files separate Section 16 reports.

Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures XI-B Side Fund, L.P.337,196 Reported balance Holding disclosure · report date 2022-08-09 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 337,196

F1: In connection with the merger of Wag Labs, Inc. into CHW Merger Sub, Inc. with Wag Labs, Inc. being the surviving entity and becoming a subsidiary of Wag! Group Co. (the "Business Combination"), the Business Combination Agreement provides that certain eligible company equity holders will receive earn-out shares as additional consideration for the Company interests acquired in connection with the business combination, for no consideration, after certain triggering events as defined in the Business Combination Agreement. The Reporting Persons' rights to receive additional shares pursuant to this earn-out right became fixed on August 9, 2022, the effective date of the Business Combination.

F6: Shares held by Battery Ventures XI-B Side Fund, L.P. ("BV XI-B SF"). BP XI SF is the general partner of BV XI-B SF and may be deemed to beneficially own the shares held by BV XI-B SF. The BP XI Managing Members are the managing members of BP XI SF and may be deemed to share voting and dispositive power over the securities held by BP XI-B SF. 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. Mr. Lee is a director of the Issuer and files separate Section 16 reports.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the merger of Wag Labs, Inc. into CHW Merger Sub, Inc. with Wag Labs, Inc. being the surviving entity and becoming a subsidiary of Wag! Group Co. (the "Business Combination"), the Business Combination Agreement provides that certain eligible company equity holders will receive earn-out shares as additional consideration for the Company interests acquired in connection with the business combination, for no consideration, after certain triggering events as defined in the Business Combination Agreement. The Reporting Persons' rights to receive additional shares pursuant to this earn-out right became fixed on August 9, 2022, the effective date of the Business Combination.

F2: Shares held by Battery Investment Partners XI, LLC ("BIP XI"). Battery Partners XI, LLC ("BP XI") is the managing member of BIP XI and may be deemed to beneficially own the shares held by BIP XI. Neeraj Agrawal, Michael Brown, Jesse Feldman, Russell Fleischer, Roger Lee, Chelsea Stoner, Dharmesh Thakker, and Scott Tobin (collectively the "BP XI Managing Members") are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BIP XI. 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. Mr. Lee is a director of the Issuer and files separate Section 16 reports.

F3: Shares held by Battery Ventures XI-A, L.P. ("BV XI-A"). BP XI is the general partner of BV XI-A and may be deemed to beneficially own the shares held by BV XI-A. The BP XI Managing Members are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BP XI-A. 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. Mr. Lee is a director of the Issuer and files separate Section 16 reports.

F4: Shares held by Battery Ventures XI-B, L.P. ("BV XI-B"). BP XI is the general partner of BV XI-B and may be deemed to beneficially own the shares held by BV XI-B. The BP XI Managing Members are the managing members of BP XI and may be deemed to share voting and dispositive power over the securities held by BP XI-B. 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. Mr. Lee is a director of the Issuer and files separate Section 16 reports.

F5: Shares held by Battery Ventures XI-A Side Fund, L.P. ("BV XI-A SF"). Battery Partners XI Side Fund, LLC ("BP XI SF") is the general partner of BV XI-A SF and may be deemed to beneficially own the shares held by BV XI-A SF. The BP XI Managing Members are the managing members of BP XI SF and may be deemed to share voting and dispositive power over the securities held by BP XI-A SF. 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. Mr. Lee is a director of the Issuer and files separate Section 16 reports.

F6: Shares held by Battery Ventures XI-B Side Fund, L.P. ("BV XI-B SF"). BP XI SF is the general partner of BV XI-B SF and may be deemed to beneficially own the shares held by BV XI-B SF. The BP XI Managing Members are the managing members of BP XI SF and may be deemed to share voting and dispositive power over the securities held by BP XI-B SF. 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. Mr. Lee is a director of the Issuer and files separate Section 16 reports.

Wayfair Inc.

Report date November 17, 2017 · Filed November 21, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect45,188 Reported balance After 2017-11-17 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2017-11-17 · Sale · Disposed 20,000 · Balance 45,188

F1: Represents weighted-average sales price. The shares were sold at prices ranging from $66.21 to $67.00. The Reporting Person will provide upon request, to the SEC, the Issuer or any security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F2: The number of shares reported as directly held by the Reporting Person reflects the change in form of beneficial ownership of 65,188 shares previously reported by the Reporting Person as indirectly held through the Reporting Person's interest in Battery Ventures IX, L.P. ("Battery Ventures IX") and Battery Investment Partners IX, LLC ("BIP IX"). Such shares were received by virtue of pro-rata in-kind distributions of common stock of the Issuer by Battery Ventures IX and by BIP IX to their partners and members without consideration, including Battery Partners IX, LLC ("BP IX"), and the further pro-rata in-kind distributions of such shares by BP IX to its members, including the Reporting Person. Following such distributions, neither Battery Ventures IX nor BIP IX owns any shares.

Filing footnotes · ownership attribution and instrument terms

F1: Represents weighted-average sales price. The shares were sold at prices ranging from $66.21 to $67.00. The Reporting Person will provide upon request, to the SEC, the Issuer or any security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F2: The number of shares reported as directly held by the Reporting Person reflects the change in form of beneficial ownership of 65,188 shares previously reported by the Reporting Person as indirectly held through the Reporting Person's interest in Battery Ventures IX, L.P. ("Battery Ventures IX") and Battery Investment Partners IX, LLC ("BIP IX"). Such shares were received by virtue of pro-rata in-kind distributions of common stock of the Issuer by Battery Ventures IX and by BIP IX to their partners and members without consideration, including Battery Partners IX, LLC ("BP IX"), and the further pro-rata in-kind distributions of such shares by BP IX to its members, including the Reporting Person. Following such distributions, neither Battery Ventures IX nor BIP IX owns any shares.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Section 16 reporting ended · disclosed 2018-03-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Battery Ventures VIII, L.P.5,569,220 Reported balance After 2018-03-20 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2018-03-20 · Other · Disposed 1,300,000 · Balance 5,569,220

F1: Pro-rata distribution for no consideration in a transaction exempt under Rule 16a-9(a) from Battery Ventures VIII, L.P. ("BV VIII") to the limited partners of BV VIII and Battery Partners VIII, LLC ("BP VIII"), the sole general partner of BV VIII.

F2: The reported securities are owned directly by BV VIII. BP VIII's investment adviser is Battery Management Corp. (together with BP VIII, the "Battery Companies"). Neeraj Agrawal, Michael Brown, Thomas Crotty, Richard Frisbie, Kenneth Lawler, Roger Lee, R. David Tabors, and Scott Tobin are the managing members and officers of the Battery Companies and may be deemed to share voting and dispositive power over the securities held by BV VIII. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his 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 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Pro-rata distribution for no consideration in a transaction exempt under Rule 16a-9(a) from Battery Ventures VIII, L.P. ("BV VIII") to the limited partners of BV VIII and Battery Partners VIII, LLC ("BP VIII"), the sole general partner of BV VIII.

F2: The reported securities are owned directly by BV VIII. BP VIII's investment adviser is Battery Management Corp. (together with BP VIII, the "Battery Companies"). Neeraj Agrawal, Michael Brown, Thomas Crotty, Richard Frisbie, Kenneth Lawler, Roger Lee, R. David Tabors, and Scott Tobin are the managing members and officers of the Battery Companies and may be deemed to share voting and dispositive power over the securities held by BV VIII. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his 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 or for any other purpose.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 ConversionSeries C Preferred Stock · Derivative 6,473,307 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · derivative · entry 16

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures IX, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 6,473,307 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F1 · derivative.exercise_date: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F1 · derivative.expiration_date: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F2 · ownership.nature: 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.

Read SEC document
June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 ConversionSeries B Preferred Stock · Derivative 143,199 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · derivative · entry 15

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Investment Partners IX, LLC

Disclosed balance after: 0

Underlying: Common Stock · 143,199 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F1 · derivative.exercise_date: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F1 · derivative.expiration_date: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F3 · ownership.nature: 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.

Read SEC document
June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 ConversionSeries B Preferred Stock · Derivative 14,321,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · derivative · entry 14

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures IX, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 14,321,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F1 · derivative.exercise_date: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F1 · derivative.expiration_date: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F2 · ownership.nature: 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.

Read SEC document
June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 ConversionSeries A Preferred Stock · Derivative 198,440 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · derivative · entry 13

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Investment Partners IX, LLC

Disclosed balance after: 0

Underlying: Common Stock · 198,440 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F1 · derivative.exercise_date: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F1 · derivative.expiration_date: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F3 · ownership.nature: 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.

Read SEC document
June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 ConversionSeries A Preferred Stock · Derivative 19,846,041 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · derivative · entry 12

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures IX, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 19,846,041 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F1 · derivative.exercise_date: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F1 · derivative.expiration_date: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F2 · ownership.nature: 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.

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June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 GrantStock Option (right to buy) · Derivative 12,789 $0.00 Strike: $16.00 $0.00
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · derivative · entry 11

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,789

Underlying: Class A Common Stock · 12,789 shares

Expires 2031-06-25

F7 · derivative.exercise_date: The option will vest in full on the earlier of (a) June 25, 2022 or (b) the day prior to the date of the Issuer's next annual stockholder meeting, subject to the Reporting Person's continuous service through such vesting date.

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June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 PurchaseClass A Common Stock 96,636 $16.00 $1,546,176.00
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · nonDerivative · entry 10

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Investment Partners Select Fund I, L.P.

Disclosed balance after: 96,636

F5 · ownership.nature: 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.

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June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 PurchaseClass A Common Stock 977,095 $16.00 $15,633,520.00
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · nonDerivative · entry 9

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures Select Fund I, L.P

Disclosed balance after: 977,095

F4 · ownership.nature: 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.

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June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 OtherCommon Stock 238,068 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · nonDerivative · entry 8

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Investment Partners Select Fund I, L.P.

Disclosed balance after: 0

F6 · kind: Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.

F6 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.

F5 · ownership.nature: 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.

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June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 OtherCommon Stock 2,407,137 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · nonDerivative · entry 7

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures Select Fund I, L.P

Disclosed balance after: 0

F6 · kind: Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.

F6 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.

F4 · ownership.nature: 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.

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June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 OtherCommon Stock 410,670 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · nonDerivative · entry 6

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Investment Partners IX, LLC

Disclosed balance after: 0

F6 · kind: Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.

F6 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.

F3 · ownership.nature: 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.

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June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 OtherCommon Stock 41,070,734 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · nonDerivative · entry 5

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures IX, L.P.

Disclosed balance after: 0

F6 · kind: Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.

F6 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.

F2 · ownership.nature: 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.

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June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 ConversionCommon Stock 152,806 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · nonDerivative · entry 4

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Investment Partners Select Fund I, L.P.

Disclosed balance after: 238,068

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F5 · ownership.nature: 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.

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June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 ConversionCommon Stock 1,545,044 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · nonDerivative · entry 3

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures Select Fund I, L.P

Disclosed balance after: 2,407,137

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F4 · ownership.nature: 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.

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June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 ConversionCommon Stock 410,373 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · nonDerivative · entry 2

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Investment Partners IX, LLC

Disclosed balance after: 410,670

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F3 · ownership.nature: 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.

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June 25, 2021 Filed Jun 30, 2021 01:00 UTC Sprinklr, Inc. CXM · Entity 4581 ConversionCommon Stock 41,041,031 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-043857 · doc4.xml · nonDerivative · entry 1

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures IX, L.P.

Disclosed balance after: 41,070,734

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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 Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis prior to being reclassified into shares of Series B Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering.

F2 · ownership.nature: 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.

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June 25, 2021 Filed May 5, 2022 21:29 UTC Amendment Sprinklr, Inc. CXM · Entity 4581 GrantStock Option (right to buy) · Derivative 0 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-027415 · doc4a.xml · derivative · entry 2

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 0 shares

Expires 2031-06-25

F2 · security: The initial Form 4 filed on June 29, 2021 inadvertently reported the RSU award received by the Reporting Person as a stock option rather than an RSU award. This amendment serves to remove the stock option award from Table II and report the RSU in Table I.

F3 · derivative.exercise_date: Not applicable.

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June 25, 2021 Filed May 5, 2022 21:29 UTC Amendment Sprinklr, Inc. CXM · Entity 4581 GrantClass A Common Stock 12,789 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-027415 · doc4a.xml · nonDerivative · entry 1

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,789

F1 · kind: Represents a restricted stock unit ("RSU") award. The RSUs will vest in full on the earlier of (a) June 25, 2022 or (b) the day prior to the date of the Issuer's next annual stockholder meeting, subject to the Reporting Person's continuous service through such vesting date.

F2 · kind: The initial Form 4 filed on June 29, 2021 inadvertently reported the RSU award received by the Reporting Person as a stock option rather than an RSU award. This amendment serves to remove the stock option award from Table II and report the RSU in Table I.

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June 02, 2021 Filed Sep 24, 2021 01:30 UTC Amplitude, Inc. AMPL · Entity 4566 PurchaseSeries F Preferred Stock · Derivative 284,198 $32.02 $9,099,991.54
Disclosure

SEC source: 0000899243-21-037511 · doc4.xml · derivative · entry 13

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 284,198

Underlying: Class B Common Stock · 284,198 shares

Expires not disclosed

F11 · derivative.exercise_price: Each share of Series A, Series B, Series C, Series D, Series E and Series F Preferred Stock was automatically converted into the Issuer's Class B Common Stock on a one-to-one basis at the time of effectiveness of the Issuer's registration statement on Form S-1.

F13 · kind: Transaction is being reported herein pursuant to Rule 16a-2(a).

F11 · derivative.exercise_date: Each share of Series A, Series B, Series C, Series D, Series E and Series F Preferred Stock was automatically converted into the Issuer's Class B Common Stock on a one-to-one basis at the time of effectiveness of the Issuer's registration statement on Form S-1.

F11 · derivative.expiration_date: Each share of Series A, Series B, Series C, Series D, Series E and Series F Preferred Stock was automatically converted into the Issuer's Class B Common Stock on a one-to-one basis at the time of effectiveness of the Issuer's registration statement on Form S-1.

F12 · derivative.underlying: In connection with the reclassification of the Issuer's Common Stock on August 30, 2021, each share of Common Stock held by the Reporting Person was automatically reclassified as Class B Common Stock.

F8 · ownership.nature: Shares held by Battery Ventures Select Fund I, L.P. ("BV Select I").

F9 · ownership.nature: The sole general partner of BV XI-A and BV XI-B is Battery Partners XI, LLC ("BP XI"). The sole general partner of BV XI-A SF and BV XI-B SF is Battery Partners XI Side Fund, LLC ("BP XI SF"). The sole managing member of BIP XI is BP XI. The sole general partner of BV Select I is Battery Partners Select Fund I, L.P., whose sole general partner is Battery Partners Select Fund I GP, LLC ("BP Select I"). The general partner of BIP Select I is BP Select I. The investment adviser of BP XI, BP XI SF, and BP Select I is Battery Management Corp. (together with BP XI, BP XI SF, and BP Select I, the "Battery Companies").

F10 · ownership.nature: The Reporting Person is a managing member of the Battery Companies and may be deemed to share voting and dispositive power over the securities held by BIP XI, BV XI-A, BV XI-A SF, BV XI-B, BV XI-B SF, BIP Select I, and 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 or for any other purpose.

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June 02, 2021 Filed Sep 24, 2021 01:30 UTC Amplitude, Inc. AMPL · Entity 4566 PurchaseSeries F Preferred Stock · Derivative 28,107 $32.02 $899,983.33
Disclosure

SEC source: 0000899243-21-037511 · doc4.xml · derivative · entry 12

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 28,107

Underlying: Class B Common Stock · 28,107 shares

Expires not disclosed

F11 · derivative.exercise_price: Each share of Series A, Series B, Series C, Series D, Series E and Series F Preferred Stock was automatically converted into the Issuer's Class B Common Stock on a one-to-one basis at the time of effectiveness of the Issuer's registration statement on Form S-1.

F13 · kind: Transaction is being reported herein pursuant to Rule 16a-2(a).

F11 · derivative.exercise_date: Each share of Series A, Series B, Series C, Series D, Series E and Series F Preferred Stock was automatically converted into the Issuer's Class B Common Stock on a one-to-one basis at the time of effectiveness of the Issuer's registration statement on Form S-1.

F11 · derivative.expiration_date: Each share of Series A, Series B, Series C, Series D, Series E and Series F Preferred Stock was automatically converted into the Issuer's Class B Common Stock on a one-to-one basis at the time of effectiveness of the Issuer's registration statement on Form S-1.

F12 · derivative.underlying: In connection with the reclassification of the Issuer's Common Stock on August 30, 2021, each share of Common Stock held by the Reporting Person was automatically reclassified as Class B Common Stock.

F7 · ownership.nature: Shares held by Battery Investment Partners Select Fund I, L.P. ("BIP Select I").

F9 · ownership.nature: The sole general partner of BV XI-A and BV XI-B is Battery Partners XI, LLC ("BP XI"). The sole general partner of BV XI-A SF and BV XI-B SF is Battery Partners XI Side Fund, LLC ("BP XI SF"). The sole managing member of BIP XI is BP XI. The sole general partner of BV Select I is Battery Partners Select Fund I, L.P., whose sole general partner is Battery Partners Select Fund I GP, LLC ("BP Select I"). The general partner of BIP Select I is BP Select I. The investment adviser of BP XI, BP XI SF, and BP Select I is Battery Management Corp. (together with BP XI, BP XI SF, and BP Select I, the "Battery Companies").

F10 · ownership.nature: The Reporting Person is a managing member of the Battery Companies and may be deemed to share voting and dispositive power over the securities held by BIP XI, BV XI-A, BV XI-A SF, BV XI-B, BV XI-B SF, BIP Select I, and 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 or for any other purpose.

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March 11, 2020 Filed Mar 12, 2020 18:03 UTC CHAMPIONS ONCOLOGY, INC. CSBR · Entity 7013 OtherWarrant to purchase shares of Common Stock · Derivative 286,458 $0.00 Strike: $5.76 $0.00
Disclosure

SEC source: 0001179110-20-003543 · edgar.xml · derivative · entry 4

Battery Ventures IX, L.P. · CIK 0001485934 · 10% owner

Battery Investment Partners IX, LLC · CIK 0001517640 · 10% owner

Battery Partners IX, LLC · CIK 0001517642 · 10% owner

Battery Management Corp. · CIK 0001548594 · 10% owner

Agrawal Neeraj · CIK 0001532809 · 10% owner

BROWN MICHAEL MAURICE · CIK 0001354614 · 10% owner

Feldman Jesse · CIK 0001568322 · 10% owner

Lee Roger H · CIK 0001404868 · 10% owner

TABORS R DAVID · CIK 0001199925 · 10% owner

TOBIN SCOTT R · CIK 0001199926 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 0

Underlying: Common Stock · 286,458 shares

Expires 2020-03-13

F4 · derivative.exercise_price: Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split.

F4 · shares: Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split.

F2 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

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March 11, 2020 Filed Mar 12, 2020 18:03 UTC CHAMPIONS ONCOLOGY, INC. CSBR · Entity 7013 OtherWarrant to purchase shares of Common Stock · Derivative 123,333 $0.00 Strike: $4.80 $0.00
Disclosure

SEC source: 0001179110-20-003543 · edgar.xml · derivative · entry 3

Battery Ventures IX, L.P. · CIK 0001485934 · 10% owner

Battery Investment Partners IX, LLC · CIK 0001517640 · 10% owner

Battery Partners IX, LLC · CIK 0001517642 · 10% owner

Battery Management Corp. · CIK 0001548594 · 10% owner

Agrawal Neeraj · CIK 0001532809 · 10% owner

BROWN MICHAEL MAURICE · CIK 0001354614 · 10% owner

Feldman Jesse · CIK 0001568322 · 10% owner

Lee Roger H · CIK 0001404868 · 10% owner

TABORS R DAVID · CIK 0001199925 · 10% owner

TOBIN SCOTT R · CIK 0001199926 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 0

Underlying: Common Stock · 123,333 shares

Expires 2020-03-13

F4 · derivative.exercise_price: Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split.

F4 · shares: Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split.

F2 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

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March 11, 2020 Filed Mar 12, 2020 18:03 UTC CHAMPIONS ONCOLOGY, INC. CSBR · Entity 7013 OtherCommon Stock 286,458 $5.76 $1,649,998.08
Disclosure

SEC source: 0001179110-20-003543 · edgar.xml · nonDerivative · entry 2

Battery Ventures IX, L.P. · CIK 0001485934 · 10% owner

Battery Investment Partners IX, LLC · CIK 0001517640 · 10% owner

Battery Partners IX, LLC · CIK 0001517642 · 10% owner

Battery Management Corp. · CIK 0001548594 · 10% owner

Agrawal Neeraj · CIK 0001532809 · 10% owner

BROWN MICHAEL MAURICE · CIK 0001354614 · 10% owner

Feldman Jesse · CIK 0001568322 · 10% owner

Lee Roger H · CIK 0001404868 · 10% owner

TABORS R DAVID · CIK 0001199925 · 10% owner

TOBIN SCOTT R · CIK 0001199926 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 2,421,673

F3 · balance_after: Consists of 2,397,699 shares of the Issuer's Common Stock held by BVIX and 23,974 shares of the Issuer's Common Stock held by BIPIX.

F2 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

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March 11, 2020 Filed Mar 12, 2020 18:03 UTC CHAMPIONS ONCOLOGY, INC. CSBR · Entity 7013 OtherCommon Stock 123,333 $4.80 $591,998.40
Disclosure

SEC source: 0001179110-20-003543 · edgar.xml · nonDerivative · entry 1

Battery Ventures IX, L.P. · CIK 0001485934 · 10% owner

Battery Investment Partners IX, LLC · CIK 0001517640 · 10% owner

Battery Partners IX, LLC · CIK 0001517642 · 10% owner

Battery Management Corp. · CIK 0001548594 · 10% owner

Agrawal Neeraj · CIK 0001532809 · 10% owner

BROWN MICHAEL MAURICE · CIK 0001354614 · 10% owner

Feldman Jesse · CIK 0001568322 · 10% owner

Lee Roger H · CIK 0001404868 · 10% owner

TABORS R DAVID · CIK 0001199925 · 10% owner

TOBIN SCOTT R · CIK 0001199926 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 2,135,215

F1 · balance_after: Consists of 2,114,077 shares of the Issuer's Common Stock held by Battery Ventures IX, L.P. ("BVIX") and 21,138 shares of the Issuer's Common Stock held by Battery Investment Partners IX, LLC ("BIPIX"). Battery Partners IX, LLC ("BPIX") is the sole general partner of BVIX and the sole manager of BIPIX. Battery Management Corp. ("BMC") is the investment adviser of BPIX. Neeraj Agrawal, Michael M. Brown, Jesse Feldman, Roger H. Lee, R. David Tabors and Scott R. Tobin (collectively, the "Managing Members") are the managing members of BPIX. The Managing Members are also officers of BMC (collectively, the "Officers"). The Managing Members and the Officers, in their respective capacities as such, may be deemed to have shared voting and dispositive power over the shares held by BVIX and BIPIX

F2 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

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January 18, 2019 Filed Apr 30, 2019 20:30 UTC CHAMPIONS ONCOLOGY, INC. CSBR · Entity 7013 OtherWarrant to purchase shares of Common Stock · Derivative 58,333 $0.00 Strike: $4.80 $0.00
Disclosure

SEC source: 0001179110-19-005296 · edgar.xml · derivative · entry 2

Battery Ventures IX, L.P. · CIK 0001485934 · 10% owner

Battery Investment Partners IX, LLC · CIK 0001517640 · 10% owner

Battery Partners IX, LLC · CIK 0001517642 · 10% owner

Battery Management Corp. · CIK 0001548594 · 10% owner

Agrawal Neeraj · CIK 0001532809 · 10% owner

BROWN MICHAEL MAURICE · CIK 0001354614 · 10% owner

Feldman Jesse · CIK 0001568322 · 10% owner

Lee Roger H · CIK 0001404868 · 10% owner

TABORS R DAVID · CIK 0001199925 · 10% owner

TOBIN SCOTT R · CIK 0001199926 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 0

Underlying: Common Stock · 58,333 shares

Expires 2019-01-27

F3 · derivative.exercise_price: Effective March 13, 2015, the warrants were amended to reduce the exercise price to $0.40 per share (before giving effect to the Reverse Stock Split referenced in footnote 4 below) and to change the expiration date to January 28, 2019.

F4 · derivative.exercise_price: Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split.

F3 · shares: Effective March 13, 2015, the warrants were amended to reduce the exercise price to $0.40 per share (before giving effect to the Reverse Stock Split referenced in footnote 4 below) and to change the expiration date to January 28, 2019.

F4 · shares: Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split.

F3 · derivative.expiration_date: Effective March 13, 2015, the warrants were amended to reduce the exercise price to $0.40 per share (before giving effect to the Reverse Stock Split referenced in footnote 4 below) and to change the expiration date to January 28, 2019.

F2 · ownership.nature: Consists of 1,991,965 shares of the Issuer's Common Stock held by Battery Ventures IX, L.P. ("BVIX") and 19,917 shares of the Issuer's Common Stock held by Battery Investment Partners IX, LLC ("BIPIX"). Battery Partners IX, LLC ("BPIX") is the sole general partner of BVIX and the sole manager of BIPIX. Battery Management Corp. ("BMC") is the investment adviser of BPIX. Neeraj Agrawal, Michael M. Brown, Jesse Feldman, Roger H. Lee, R. David Tabors and Scott R. Tobin (collectively, the "Managing Members") are the managing members of BPIX. The Managing Members are also officers of BMC (collectively, the "Officers"). The Managing Members and the Officers, in their respective capacities as such, may be deemed to have shared voting and dispositive power over the shares held by BVIX and BIPIX.

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January 08, 2019 Filed Apr 30, 2019 20:30 UTC CHAMPIONS ONCOLOGY, INC. CSBR · Entity 7013 OtherCommon Stock 58,333 $4.80 $279,998.40
Disclosure

SEC source: 0001179110-19-005296 · edgar.xml · nonDerivative · entry 1

Battery Ventures IX, L.P. · CIK 0001485934 · 10% owner

Battery Investment Partners IX, LLC · CIK 0001517640 · 10% owner

Battery Partners IX, LLC · CIK 0001517642 · 10% owner

Battery Management Corp. · CIK 0001548594 · 10% owner

Agrawal Neeraj · CIK 0001532809 · 10% owner

BROWN MICHAEL MAURICE · CIK 0001354614 · 10% owner

Feldman Jesse · CIK 0001568322 · 10% owner

Lee Roger H · CIK 0001404868 · 10% owner

TABORS R DAVID · CIK 0001199925 · 10% owner

TOBIN SCOTT R · CIK 0001199926 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 2,011,882

F1 · balance_after: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Consists of 1,991,965 shares of the Issuer's Common Stock held by Battery Ventures IX, L.P. ("BVIX") and 19,917 shares of the Issuer's Common Stock held by Battery Investment Partners IX, LLC ("BIPIX"). Battery Partners IX, LLC ("BPIX") is the sole general partner of BVIX and the sole manager of BIPIX. Battery Management Corp. ("BMC") is the investment adviser of BPIX. Neeraj Agrawal, Michael M. Brown, Jesse Feldman, Roger H. Lee, R. David Tabors and Scott R. Tobin (collectively, the "Managing Members") are the managing members of BPIX. The Managing Members are also officers of BMC (collectively, the "Officers"). The Managing Members and the Officers, in their respective capacities as such, may be deemed to have shared voting and dispositive power over the shares held by BVIX and BIPIX.

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March 20, 2018 Filed Mar 22, 2018 10:19 UTC Coupa Software Inc COUP · Entity 116314 OtherCommon Stock 1,300,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-18-004743 · edgar.xml · nonDerivative · entry 1

Battery Management Corp. · CIK 0001548594 · Former 10% owner

Agrawal Neeraj · CIK 0001532809 · Former 10% owner

BROWN MICHAEL MAURICE · CIK 0001354614 · Former 10% owner

CROTTY THOMAS J · CIK 0001192462 · Former 10% owner

FRISBIE RICHARD D · CIK 0001192362 · Former 10% owner

LAWLER KENNETH P · CIK 0001192451 · Former 10% owner

Lee Roger H · CIK 0001404868 · Former 10% owner

TABORS R DAVID · CIK 0001199925 · Former 10% owner

TOBIN SCOTT R · CIK 0001199926 · Former 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures VIII, L.P.

Disclosed balance after: 5,569,220

F1 · kind: Pro-rata distribution for no consideration in a transaction exempt under Rule 16a-9(a) from Battery Ventures VIII, L.P. ("BV VIII") to the limited partners of BV VIII and Battery Partners VIII, LLC ("BP VIII"), the sole general partner of BV VIII.

F2 · ownership.nature: The reported securities are owned directly by BV VIII. BP VIII's investment adviser is Battery Management Corp. (together with BP VIII, the "Battery Companies"). Neeraj Agrawal, Michael Brown, Thomas Crotty, Richard Frisbie, Kenneth Lawler, Roger Lee, R. David Tabors, and Scott Tobin are the managing members and officers of the Battery Companies and may be deemed to share voting and dispositive power over the securities held by BV VIII. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his 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 or for any other purpose.

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November 17, 2017 Filed Nov 21, 2017 21:27 UTC Wayfair Inc. W · Entity 3426 SaleClass A Common Stock 20,000 $66.73 $1,334,578.00
Disclosure

SEC source: 0001179110-17-014422 · edgar.xml · nonDerivative · entry 1

Agrawal Neeraj · CIK 0001532809 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,188

F1 · price: Represents weighted-average sales price. The shares were sold at prices ranging from $66.21 to $67.00. The Reporting Person will provide upon request, to the SEC, the Issuer or any security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F2 · balance_after: The number of shares reported as directly held by the Reporting Person reflects the change in form of beneficial ownership of 65,188 shares previously reported by the Reporting Person as indirectly held through the Reporting Person's interest in Battery Ventures IX, L.P. ("Battery Ventures IX") and Battery Investment Partners IX, LLC ("BIP IX"). Such shares were received by virtue of pro-rata in-kind distributions of common stock of the Issuer by Battery Ventures IX and by BIP IX to their partners and members without consideration, including Battery Partners IX, LLC ("BP IX"), and the further pro-rata in-kind distributions of such shares by BP IX to its members, including the Reporting Person. Following such distributions, neither Battery Ventures IX nor BIP IX owns any shares.

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May 15, 2017 Filed May 17, 2017 17:23 UTC Coupa Software Inc COUP · Entity 116314 GrantRestricted Stock Units · Derivative 5,288 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-17-003461 · marketforms-38836.xml · derivative · entry 1

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,288

Underlying: Common Stock · 5,288 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit converts into common stock on a one-for-one basis.

F2 · derivative.exercise_date: These RSUs vest in full on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the regular annual meeting of the Issuer's stockholders held in the year following the date of grant. Vested shares will be delivered to the reporting person upon vest date.

F2 · derivative.expiration_date: These RSUs vest in full on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the regular annual meeting of the Issuer's stockholders held in the year following the date of grant. Vested shares will be delivered to the reporting person upon vest date.

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October 12, 2016 Filed Oct 13, 2016 17:36 UTC Coupa Software Inc COUP · Entity 116314 ConversionSeries G Convertible Preferred Stock · Derivative 150,954 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-145824 · doc4.xml · derivative · entry 9

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 150,954 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F3 · ownership.nature: Battery Partners VIII, LLC ("BP VIII") is the sole general partner of Battery Ventures VIII, L.P. ("Battery Ventures VIII"). BP VIII's investment adviser is Battery Management Corp. (together with BP VIII, the "Battery Companies"). The Reporting Person, Michael M. Brown, Thomas J. Crotty, Richard D. Frisbie, Kenneth P. Lawler, R. David Tabors, Scott R. Tobin and Roger H. Lee are the managing members and officers of the Battery Companies and may be deemed to share voting and dispositive power with respect to the shares held by Battery Ventures VIII. The Reporting Person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

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October 12, 2016 Filed Oct 13, 2016 17:36 UTC Coupa Software Inc COUP · Entity 116314 ConversionSeries F Convertible Preferred Stock · Derivative 1,087,762 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-145824 · doc4.xml · derivative · entry 8

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,087,762 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F3 · ownership.nature: Battery Partners VIII, LLC ("BP VIII") is the sole general partner of Battery Ventures VIII, L.P. ("Battery Ventures VIII"). BP VIII's investment adviser is Battery Management Corp. (together with BP VIII, the "Battery Companies"). The Reporting Person, Michael M. Brown, Thomas J. Crotty, Richard D. Frisbie, Kenneth P. Lawler, R. David Tabors, Scott R. Tobin and Roger H. Lee are the managing members and officers of the Battery Companies and may be deemed to share voting and dispositive power with respect to the shares held by Battery Ventures VIII. The Reporting Person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

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October 12, 2016 Filed Oct 13, 2016 17:36 UTC Coupa Software Inc COUP · Entity 116314 ConversionSeries E Convertible Preferred Stock · Derivative 767,715 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-145824 · doc4.xml · derivative · entry 7

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 767,715 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F3 · ownership.nature: Battery Partners VIII, LLC ("BP VIII") is the sole general partner of Battery Ventures VIII, L.P. ("Battery Ventures VIII"). BP VIII's investment adviser is Battery Management Corp. (together with BP VIII, the "Battery Companies"). The Reporting Person, Michael M. Brown, Thomas J. Crotty, Richard D. Frisbie, Kenneth P. Lawler, R. David Tabors, Scott R. Tobin and Roger H. Lee are the managing members and officers of the Battery Companies and may be deemed to share voting and dispositive power with respect to the shares held by Battery Ventures VIII. The Reporting Person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

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October 12, 2016 Filed Oct 13, 2016 17:36 UTC Coupa Software Inc COUP · Entity 116314 ConversionSeries D Convertible Preferred Stock · Derivative 1,164,075 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-145824 · doc4.xml · derivative · entry 6

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,164,075 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F3 · ownership.nature: Battery Partners VIII, LLC ("BP VIII") is the sole general partner of Battery Ventures VIII, L.P. ("Battery Ventures VIII"). BP VIII's investment adviser is Battery Management Corp. (together with BP VIII, the "Battery Companies"). The Reporting Person, Michael M. Brown, Thomas J. Crotty, Richard D. Frisbie, Kenneth P. Lawler, R. David Tabors, Scott R. Tobin and Roger H. Lee are the managing members and officers of the Battery Companies and may be deemed to share voting and dispositive power with respect to the shares held by Battery Ventures VIII. The Reporting Person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

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October 12, 2016 Filed Oct 13, 2016 17:36 UTC Coupa Software Inc COUP · Entity 116314 ConversionSeries C Convertible Preferred Stock · Derivative 1,432,578 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-145824 · doc4.xml · derivative · entry 5

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,432,578 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F3 · ownership.nature: Battery Partners VIII, LLC ("BP VIII") is the sole general partner of Battery Ventures VIII, L.P. ("Battery Ventures VIII"). BP VIII's investment adviser is Battery Management Corp. (together with BP VIII, the "Battery Companies"). The Reporting Person, Michael M. Brown, Thomas J. Crotty, Richard D. Frisbie, Kenneth P. Lawler, R. David Tabors, Scott R. Tobin and Roger H. Lee are the managing members and officers of the Battery Companies and may be deemed to share voting and dispositive power with respect to the shares held by Battery Ventures VIII. The Reporting Person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

Read SEC document
October 12, 2016 Filed Oct 13, 2016 17:36 UTC Coupa Software Inc COUP · Entity 116314 ConversionSeries B Convertible Preferred Stock · Derivative 839,552 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-145824 · doc4.xml · derivative · entry 4

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,595,517 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F3 · ownership.nature: Battery Partners VIII, LLC ("BP VIII") is the sole general partner of Battery Ventures VIII, L.P. ("Battery Ventures VIII"). BP VIII's investment adviser is Battery Management Corp. (together with BP VIII, the "Battery Companies"). The Reporting Person, Michael M. Brown, Thomas J. Crotty, Richard D. Frisbie, Kenneth P. Lawler, R. David Tabors, Scott R. Tobin and Roger H. Lee are the managing members and officers of the Battery Companies and may be deemed to share voting and dispositive power with respect to the shares held by Battery Ventures VIII. The Reporting Person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

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October 12, 2016 Filed Oct 13, 2016 17:36 UTC Coupa Software Inc COUP · Entity 116314 ConversionSeries A Convertible Preferred Stock · Derivative 36,030 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-145824 · doc4.xml · derivative · entry 3

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 45,239 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F3 · ownership.nature: Battery Partners VIII, LLC ("BP VIII") is the sole general partner of Battery Ventures VIII, L.P. ("Battery Ventures VIII"). BP VIII's investment adviser is Battery Management Corp. (together with BP VIII, the "Battery Companies"). The Reporting Person, Michael M. Brown, Thomas J. Crotty, Richard D. Frisbie, Kenneth P. Lawler, R. David Tabors, Scott R. Tobin and Roger H. Lee are the managing members and officers of the Battery Companies and may be deemed to share voting and dispositive power with respect to the shares held by Battery Ventures VIII. The Reporting Person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

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October 12, 2016 Filed Oct 13, 2016 17:36 UTC Coupa Software Inc COUP · Entity 116314 PurchaseCommon Stock 275,000 $18.00 $4,950,000.00
Disclosure

SEC source: 0001209191-16-145824 · doc4.xml · nonDerivative · entry 2

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures VIII, L.P.

Disclosed balance after: 6,869,220

F3 · ownership.nature: Battery Partners VIII, LLC ("BP VIII") is the sole general partner of Battery Ventures VIII, L.P. ("Battery Ventures VIII"). BP VIII's investment adviser is Battery Management Corp. (together with BP VIII, the "Battery Companies"). The Reporting Person, Michael M. Brown, Thomas J. Crotty, Richard D. Frisbie, Kenneth P. Lawler, R. David Tabors, Scott R. Tobin and Roger H. Lee are the managing members and officers of the Battery Companies and may be deemed to share voting and dispositive power with respect to the shares held by Battery Ventures VIII. The Reporting Person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

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October 12, 2016 Filed Oct 13, 2016 17:36 UTC Coupa Software Inc COUP · Entity 116314 ConversionCommon Stock 6,243,840 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-16-145824 · doc4.xml · nonDerivative · entry 1

Agrawal Neeraj · CIK 0001532809 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Battery Ventures VIII, L.P.

Disclosed balance after: 6,594,220

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The total represents shares received upon conversion of shares of Series A, B, C, D, E, F and G Convertible Preferred Stock.

F2 · price: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into 1.25561723 and 1.90043965 shares, respectively, of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. Each share of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The convertible preferred stock had no expiration date.

F3 · ownership.nature: Battery Partners VIII, LLC ("BP VIII") is the sole general partner of Battery Ventures VIII, L.P. ("Battery Ventures VIII"). BP VIII's investment adviser is Battery Management Corp. (together with BP VIII, the "Battery Companies"). The Reporting Person, Michael M. Brown, Thomas J. Crotty, Richard D. Frisbie, Kenneth P. Lawler, R. David Tabors, Scott R. Tobin and Roger H. Lee are the managing members and officers of the Battery Companies and may be deemed to share voting and dispositive power with respect to the shares held by Battery Ventures VIII. The Reporting Person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.