Edward Y. Abbo - Aug 19, 2021 Form 4 Insider Report for C3.ai, Inc. (AI)

Role
Chief Technology Officer
Signature
/s/ Brady Mickelsen, Attorney-in-Fact
Stock symbol
AI
Transactions as of
Aug 19, 2021
Transactions value $
-$1,506,200
Form type
4
Date filed
8/23/2021, 07:01 PM
Previous filing
Jul 16, 2021
Next filing
Sep 8, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AI Class A Common Stock Options Exercise $54.1K +34.7K +8.68% $1.56* 435K Aug 19, 2021 Direct F1
transaction AI Class A Common Stock Sale -$1.51M -33.7K -7.75% $44.94 401K Aug 19, 2021 Direct F1, F2
transaction AI Class A Common Stock Sale -$45.6K -1K -0.25% $45.55 400K Aug 19, 2021 Direct F1, F3
transaction AI Class A Common Stock Award $0 +100K +25% $0.00 500K Aug 21, 2021 Direct F4
holding AI Class A Common Stock 54.7K Aug 19, 2021 See Footnote F5
holding AI Class A Common Stock 124K Aug 19, 2021 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 Stock Option (Right to Buy) Options Exercise $0 -34.7K -14.76% $0.00 200K Aug 19, 2021 Class A Common Stock 34.7K $1.56 Direct F1, F7
* 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 $44.48 to $45.47. 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.
F3 Represents weighted average sales price. The shares were sold at prices ranging from $45.48 to $45.65. 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 the grant of Restricted Stock Units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. 100% of the RSUs will fully vest on September 15, 2022 so long as the Reporting Person continues to provide services through such vesting date.
F5 The shares are held by the Abbo 2012 Children's Trust, of which the Reporting Person is trustee.
F6 The shares are held by the Edward Y. Abbo and Alison C. Abbo 2001 Family Trust, of which the Reporting Person is trustee.
F7 Fully vested.