Houman Behzadi - 09 Jul 2021 Form 4 Insider Report for C3.ai, Inc. (AI)

Role
Chief Product Officer
Signature
/s/ Brady Mickelsen, Attorney-in-Fact
Issuer symbol
AI
Transactions as of
09 Jul 2021
Net transactions value
-$3,955,301
Form type
4
Filing time
13 Jul 2021, 19:27:59 UTC
Previous filing
25 Jun 2021
Next filing
18 Aug 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 Options Exercise $130,200 +70,000 +30% $1.86* 301,608 09 Jul 2021 Direct F1
transaction AI Class A Common Stock Sale $2,106,630 -36,340 -12% $57.97 265,268 09 Jul 2021 Direct F1, F2
transaction AI Class A Common Stock Sale $1,978,871 -33,660 -13% $58.79 231,608 09 Jul 2021 Direct F1, F3

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 -70,000 -19% $0.000000 294,668 09 Jul 2021 Class A Common Stock 70,000 $1.86 Direct F1, F4
* 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 $57.46 to $58.45. 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 $58.46 to $59.24. 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 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.