Thomas M. Siebel - Nov 1, 2023 Form 4 Insider Report for C3.ai, Inc. (AI)

Role
Chief Executive Officer, Director, More than 10% owner
Signature
/s/ Eric Jensen, Attorney-in-Fact
Stock symbol
AI
Transactions as of
Nov 1, 2023
Transactions value $
-$631,370
Form type
4
Date filed
11/2/2023, 09:20 PM
Previous filing
Aug 2, 2023
Next filing
Dec 27, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % Price $ Shares After Date Ownership Footnotes
transaction AI Class A Common Stock +Options Exercise +53,125 +3.02% 1,809,515 Nov 1, 2023 Direct F1
transaction AI Class A Common Stock -Tax liability -$631,370 -26,340 -1.46% $23.97 1,783,175 Nov 1, 2023 Direct
transaction AI Class A Common Stock -Gift $0 -26,785 -1.5% $0.00 1,756,390 Nov 2, 2023 Direct
transaction AI Class A Common Stock +Gift $0 +26,785 +0.73% $0.00 3,675,922 Nov 2, 2023 See Footnote F2
holding AI Class A Common Stock 9,216 Nov 1, 2023 See Footnote F3
holding AI Class A Common Stock 170,294 Nov 1, 2023 See Footnote F4
holding AI Class A Common Stock 72,695 Nov 1, 2023 See Footnote F5
holding AI Class A Common Stock 1,237,115 Nov 1, 2023 See Footnote F6

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AI Restricted Stock Units -Options Exercise $0 -53,125 -9.09% $0.00 531,250 Nov 1, 2023 Class A Common Stock 53,125 Direct F1, F7

Explanation of Responses:

Id Content
F1 Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement.
F2 The shares are held by The Siebel Living Trust u/a/d 7/27/93, as amended, of which the Reporting Person is trustee.
F3 The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is Chairman.
F4 The shares are held by Siebel Asset Management, L.P., of which the Reporting Person is the general partner.
F5 The shares are held by Siebel Asset Management III, L.P., of which the Reporting Person is the general partner.
F6 The shares are held by The Siebel 2011 Irrevocable Children's Trust, of which the Reporting Person is co-trustee.
F7 6.25% of each such RSU award vested on August 1, 2022 and 6.25% of each such RSU award shall vest on a quarterly basis thereafter, so long as the Reporting Person continues to provide services through such vesting date.