Houman Behzadi - Sep 1, 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
Sep 1, 2021
Transactions value $
-$824,284
Form type
4
Date filed
9/3/2021, 05:41 PM
Previous filing
Aug 24, 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 $26.7K +15.9K +4.79% $1.68* 347K Sep 1, 2021 Direct F1
transaction AI Class A Common Stock Sale -$450K -8.49K -2.44% $52.99 339K Sep 1, 2021 Direct F1, F2
transaction AI Class A Common Stock Sale -$270K -5K -1.47% $53.96 334K Sep 1, 2021 Direct F1, F3
transaction AI Class A Common Stock Sale -$131K -2.4K -0.72% $54.77 332K Sep 1, 2021 Direct F1, F4

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 -15.9K -11.92% $0.00 117K Sep 1, 2021 Class A Common Stock 15.9K $1.68 Direct F1, F5, F6
* 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 $52.44 to $53.40. 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.
F3 Represents weighted average sales price. The shares were sold at prices ranging from $53.44 to $54.42. 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 $54.48 to $55.42. 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 Twenty percent (20%) of the shares subject to the option grant vested on May 16, 2017, 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.
F6 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.