Houman Behzadi - Jun 8, 2021 Form 4 Insider Report for C3.ai, Inc. (AI)

Role
Chief Product Officer
Signature
/s/ Brady Mickelsen, Attorney-in-Fact
Stock symbol
AI
Transactions as of
Jun 8, 2021
Transactions value $
-$4,318,848
Form type
4
Date filed
6/10/2021, 05:20 PM
Next filing
Jun 25, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AI Class A Common Stock Options Exercise $130K +70K +30.29% $1.86* 301K Jun 8, 2021 Direct F1
transaction AI Class A Common Stock Sale -$250K -4.09K -1.36% $61.13 297K Jun 8, 2021 Direct F1, F2
transaction AI Class A Common Stock Sale -$562K -8.99K -3.03% $62.47 288K Jun 8, 2021 Direct F1, F3
transaction AI Class A Common Stock Sale -$1.4M -22.1K -7.68% $63.33 266K Jun 8, 2021 Direct F1, F4
transaction AI Class A Common Stock Sale -$1.96M -30.5K -11.47% $64.17 235K Jun 8, 2021 Direct F1, F5
transaction AI Class A Common Stock Sale -$279K -4.3K -1.83% $64.97 231K Jun 8, 2021 Direct F1, 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 Stock Option (Right to Buy) Options Exercise $0 -70K -16.1% $0.00 365K Jun 8, 2021 Class A Common Stock 70K $1.86 Direct F1, F7, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Transaction pursuant to a previously established Rule 10b5-1 Plan.
F2 Represents weighted average sales price. The shares were sold at prices ranging from $60.77 to $61.62. 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.
F3 Represents weighted average sales price. The shares were sold at prices ranging from $61.79 to $62.78. 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 $62.79 to $63.78. 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 $63.79 to $64.78. 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 $64.79 to $65.40. 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 Twenty percent (20%) of the shares subject to the option grant vested on May 12, 2018, and the remaining eighty percent (80%) of each such grant vests on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates.
F8 Due to rounding in connection with the reverse stock split, the total shares include 2 additional shares that were not originally reported on the Reporting Person's Form 3.