Edward Y. Abbo - 19 Aug 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: 19 Aug 2021
Net transactions value: -$1,506,200
Form type: 4
Filing time: 23 Aug 2021, 19:01:14 UTC
Previous filing: 16 Jul 2021
Next filing: 08 Sep 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	$54,143	+34,707	+8.7%	$1.56^*	434,691	19 Aug 2021	Direct	F1
transaction	AI	Class A Common Stock	Sale	$1,514,793	-33,707	-7.8%	$44.94	400,984	19 Aug 2021	Direct	F1, F2
transaction	AI	Class A Common Stock	Sale	$45,550	-1,000	-0.25%	$45.55	399,984	19 Aug 2021	Direct	F1, F3
transaction	AI	Class A Common Stock	Award	$0	+100,000	+25%	$0.000000	499,984	21 Aug 2021	Direct	F4
holding	AI	Class A Common Stock						54,666	19 Aug 2021	See Footnote	F5
holding	AI	Class A Common Stock						123,921	19 Aug 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	-34,707	-15%	$0.000000	200,457	19 Aug 2021	Class A Common Stock	34,707	$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.