David Barter - 12 Nov 2021 Form 4 Insider Report for C3.ai, Inc. (AI)

Role
Senior VP and CFO
Signature
/s/ Brady Mickelsen, Attorney-in-Fact
Issuer symbol
AI
Transactions as of
12 Nov 2021
Net transactions value
-$354,583
Form type
4
Filing time
15 Nov 2021, 16:46:22 UTC
Previous filing
14 Oct 2021
Next filing
19 Aug 2022
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 $332,492 +19,444 +31% $17.10 82,443 12 Nov 2021 Direct F1
transaction AI Class A Common Stock Sale $575,282 -12,479 -15% $46.10 69,964 12 Nov 2021 Direct F1
transaction AI Class A Common Stock Sale $111,794 -2,365 -3.4% $47.27 67,599 12 Nov 2021 Direct F1

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 -19,444 -2.1% $0.000000 913,891 12 Nov 2021 Class A Common Stock 19,444 $17.10 Direct F1, F2
* 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 Twenty percent (20%) of the shares subject to the option grant vested on October 8, 2021, 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.