THOMAS M. SIEBEL - 07 Jun 2021 Form 4 Insider Report for C3.ai, Inc. (AI)

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Brady Mickelsen, Attorney-in-Fact
Issuer symbol
AI
Transactions as of
07 Jun 2021
Net transactions value
-$80,791,078
Form type
4
Filing time
09 Jun 2021, 19:57:40 UTC
Next filing
14 Jun 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AI Class A Common Stock Sale $25,520,710 -424,991 -4.6% $60.05 8,814,481 07 Jun 2021 See Footnote F1, F2
transaction AI Class A Common Stock Sale $4,500,332 -73,367 -0.83% $61.34 8,741,114 07 Jun 2021 See Footnote F2, F3
transaction AI Class A Common Stock Sale $101,804 -1,642 -0.02% $62.00 8,739,472 07 Jun 2021 See Footnote F2
transaction AI Class A Common Stock Sale $16,677,462 -265,269 -3% $62.87 8,474,203 08 Jun 2021 See Footnote F2, F4
transaction AI Class A Common Stock Sale $22,532,528 -351,741 -4.2% $64.06 8,122,462 08 Jun 2021 See Footnote F2, F5
transaction AI Class A Common Stock Sale $2,128,185 -32,990 -0.41% $64.51 8,089,472 08 Jun 2021 See Footnote F2, F6
transaction AI Class A Common Stock Sale $7,843,729 -121,514 -1.5% $64.55 7,967,958 09 Jun 2021 See Footnote F2, F7
transaction AI Class A Common Stock Sale $1,486,329 -22,842 -0.29% $65.07 7,945,116 09 Jun 2021 See Footnote F2, F8
holding AI Class A Common Stock 1,756,390 07 Jun 2021 Direct
holding AI Class A Common Stock 9,216 07 Jun 2021 See Footnote F9
holding AI Class A Common Stock 170,294 07 Jun 2021 See Footnote F10
holding AI Class A Common Stock 72,695 07 Jun 2021 See Footnote F11
holding AI Class A Common Stock 1,237,115 07 Jun 2021 See Footnote F12

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 Class B Common Stock Gift $0 -43,047 -100% $0.000000* 0 31 Mar 2021 Class A Common Stock 43,047 See Footnote F13, F14, F15
transaction AI Class B Common Stock Gift $0 -43,047 -100% $0.000000* 0 31 Mar 2021 Class A Common Stock 43,047 See Footnote F13, F14, F16
transaction AI Class B Common Stock Gift $0 -1,217 -6.4% $0.000000 17,792 07 Jun 2021 Class A Common Stock 1,217 See Footnote F13, F17, F18
transaction AI Class B Common Stock Gift $0 -1,217 -6.4% $0.000000 17,792 07 Jun 2021 Class A Common Stock 1,217 See Footnote F13, F17, F19
transaction AI Class B Common Stock Gift $0 +2,434 +0.12% $0.000000 2,035,182 07 Jun 2021 Class A Common Stock 2,434 See Footnote F2, F13, F20
holding AI Class B Common Stock 500,000 07 Jun 2021 Class A Common Stock 500,000 See Footnote F9, F13
holding AI Class B Common Stock 82,109 07 Jun 2021 Class A Common Stock 82,109 See Footnote F13, F21
holding AI Class B Common Stock 82,109 07 Jun 2021 Class A Common Stock 82,109 See Footnote F13, F22
holding AI Class B Common Stock 23,758 07 Jun 2021 Class A Common Stock 23,758 See Footnote F13, F23
holding AI Class B Common Stock 23,758 07 Jun 2021 Class A Common Stock 23,758 See Footnote F13, F24
holding AI Class B Common Stock 18,353 07 Jun 2021 Class A Common Stock 18,353 See Footnote F13, F25
holding AI Class B Common Stock 18,353 07 Jun 2021 Class A Common Stock 18,353 See Footnote F13, F26, F27
holding AI Class B Common Stock 10,250 07 Jun 2021 Class A Common Stock 10,250 See Footnote F13, F28
holding AI Class B Common Stock 10,250 07 Jun 2021 Class A Common Stock 10,250 See Footnote F13, F29
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents weighted average sales price. The shares were sold at prices ranging from $60.00 to $60.96. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F2 The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee.
F3 Represents weighted average sales price. The shares were sold at prices ranging from $61.00 to $61.98. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F4 Represents weighted average sales price. The shares were sold at prices ranging from $62.50 to $63.49. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F5 Represents weighted average sales price. The shares were sold at prices ranging from $63.50 to $64.47. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F6 Represents weighted average sales price. The shares were sold at prices ranging from $64.50 to $64.60. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F7 Represents weighted average sales price. The shares were sold at prices ranging from $64.00 to $64.98. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F8 Represents weighted average sales price. The shares were sold at prices ranging from $65.00 to $65.14. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F9 The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is Chairman.
F10 The shares are held by Siebel Asset Management, L.P., of which the Reporting Person is the general partner.
F11 The shares are held by Siebel Asset Management III, L.P., of which the Reporting Person is the general partner.
F12 The shares are held by The Siebel 2011 Irrevocable Children's Trust, of which the Reporting Person is co-trustee.
F13 Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock.
F14 On March 31, 2021, shares held by the annuity trust were transferred to the beneficiaries of the trust to satisfy annuity payments.
F15 The shares were held by The Siebel 2013 Annuity Trust I u/a/d 10/8/2013, of which the Reporting Person is the trustee.
F16 The shares were held by The Siebel 2013 Annuity Trust II u/a/d 10/8/2013, of which the Reporting Person is the trustee.
F17 On June 7, 2021, shares held by the annuity trust were transferred to The Siebel Living Trust u/a/d 7/27/1983 to satisfy annuity payments.
F18 The shares are held by The Siebel 2020 Annuity Trust I u/a/d 3/4/2020, of which the Reporting Person is the trustee.
F19 The shares are held by The Siebel 2020 Annuity Trust II u/a/d 3/4/2020, of which the Reporting Person is the trustee.
F20 On June 7, 2021, these shares that were held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1983 to satisfy annuity payments.
F21 The shares are held by The Siebel 2014 Annuity Trust I u/a/d 10/22/2014, of which the Reporting Person is the trustee.
F22 The shares are held by The Siebel 2014 Annuity Trust II u/a/d 10/22/2014, of which the Reporting Person is the trustee.
F23 The shares are held by The Siebel 2017 Annuity Trust I u/a/d 11/28/2017, of which the Reporting Person is the trustee.
F24 The shares are held by The Siebel 2017 Annuity Trust II u/a/d 11/28/2017, of which the Reporting Person is the trustee.
F25 The shares are held by The Siebel 2018 Annuity Trust I u/a/d 12/13/2018, of which the Reporting Person is the trustee.
F26 Previous Form 4 filed on March 10, 2021 contained a typo in the amount of securities beneficially owned. This amount has been corrected in this Form 4.
F27 The shares are held by The Siebel 2018 Annuity Trust II u/a/d 12/18/2018, of which the Reporting Person is the trustee.
F28 The shares are held by The Siebel 2020 Annuity Trust III u/a/d 12/3/2020, of which the Reporting Person is the trustee.
F29 The shares are held by The Siebel 2020 Annuity Trust IV u/a/d 12/3/2020, of which the Reporting Person is the trustee.