Edward Y. Abbo - 15 Jul 2021 Form 4 Insider Report for C3.ai, Inc. (AI)

Role
Chief Technology Officer
Signature
/s/ Brady Mickelsen, Attorney-in-Fact
Issuer symbol
AI
Transactions as of
15 Jul 2021
Net transactions value
-$4,369,159
Form type
4
Filing time
16 Jul 2021, 16:06:16 UTC
Previous filing
25 Jun 2021
Next filing
23 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 $116,062 +74,399 +18% $1.56* 486,752 15 Jul 2021 Direct F1
transaction AI Class A Common Stock Sale $1,404,284 -27,562 -5.7% $50.95 459,190 15 Jul 2021 Direct F1, F2
transaction AI Class A Common Stock Sale $2,069,445 -39,997 -8.7% $51.74 419,193 15 Jul 2021 Direct F1, F3
transaction AI Class A Common Stock Sale $952,896 -18,109 -4.3% $52.62 401,084 15 Jul 2021 Direct F1, F4
transaction AI Class A Common Stock Sale $58,597 -1,100 -0.27% $53.27 399,984 15 Jul 2021 Direct F1, F5
holding AI Class A Common Stock 54,666 15 Jul 2021 See Footnote F6
holding AI Class A Common Stock 123,921 15 Jul 2021 See Footnote F7

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 -74,399 -24% $0.000000 235,164 15 Jul 2021 Class A Common Stock 74,399 $1.56 Direct F1, F8, F9
* 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 $50.22 to $51.21. 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 $51.22 to $52.21. 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 $52.22 to $53.21. 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 $53.22 to $53.32. 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 The shares are held by the Abbo 2012 Children's Trust, of which the Reporting Person is trustee.
F7 The shares are held by the Edward Y. Abbo and Alison C. Abbo 2001 Family Trust, of which the Reporting Person is trustee.
F8 Fully vested.
F9 Due to rounding in connection with the reverse stock split, the total shares include 1 additional share that was not originally reported on the Reporting Person's Form 3