Edward Y. Abbo - Dec 23, 2021 Form 4 Insider Report for C3.ai, Inc. (AI)

Role
Chief Technology Officer
Signature
/s/ Richard J. Lutton, Jr., Attorney-in-Fact
Stock symbol
AI
Transactions as of
Dec 23, 2021
Transactions value $
$237,324
Form type
4
Date filed
12/28/2021, 05:01 PM
Previous filing
Nov 22, 2021
Next filing
Jun 24, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AI Class A Common Stock Gift $0 -3K -5.05% $0.00 56.4K Mar 8, 2021 Direct
transaction AI Class A Common Stock Gift $0 -99.1K -100% $0.00* 0 Aug 16, 2021 See Footnote F1
transaction AI Class A Common Stock Gift $0 +99.1K +175.73% $0.00 156K Aug 16, 2021 Direct
transaction AI Class A Common Stock Options Exercise $37.3K +13.2K +8.51% $2.82* 169K Dec 23, 2021 Direct
transaction AI Class A Common Stock Options Exercise $100K +21.9K +12.99% $4.56* 191K Dec 23, 2021 Direct
transaction AI Class A Common Stock Options Exercise $100K +21.9K +11.5% $4.56* 213K Dec 23, 2021 Direct
holding AI Class A Common Stock 150K Dec 23, 2021 See Footnote F2
holding AI Class A Common Stock 150K Dec 23, 2021 See Footnote F3
holding AI Class A Common Stock 150K Dec 23, 2021 See Footnote 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) Award $0 +300K $0.00 300K Dec 23, 2021 Class A Common Stock 300K $34.25 Direct F5
transaction AI Stock Option (Right to Buy) Options Exercise $0 -13.2K -21.66% $0.00 47.9K Dec 23, 2021 Class A Common Stock 13.2K $2.82 Direct F6, F7
transaction AI Stock Option (Right to Buy) Options Exercise $0 -21.9K -13.16% $0.00 145K Dec 23, 2021 Class A Common Stock 21.9K $4.56 Direct F8, F9
transaction AI Stock Option (Right to Buy) Options Exercise $0 -21.9K -13.16% $0.00 145K Dec 23, 2021 Class A Common Stock 21.9K $4.56 Direct F9, F10
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The shares are held by the Edward Y. Abbo and Alison C. Abbo 2001 Family Trust, of which the Reporting Person is trustee.
F2 The shares were received in connection with the division of the Abbo 2012 Children's Trust. The shares are held by the Abbo 2012 Children's Trust FBO Casey Cecile Abbo, of which the Reporting Person is trustee.
F3 The shares were received in connection with the division of the Abbo 2012 Children's Trust. The shares are held by the Abbo 2012 Children's Trust FBO Dana Lauren Abbo, of which the Reporting Person is trustee.
F4 The shares were received in connection with the division of the Abbo 2012 Children's Trust. The shares are held by the Abbo 2012 Children's Trust FBO Layla Grace Abbo, of which the Reporting Person is trustee.
F5 Twenty percent (20%) of the shares subject to the option grant shall vest on December 15, 2022, 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 Twenty percent (20%) of the shares subject to the option grant vested on May 23, 2019, 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.
F7 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.
F8 Twenty percent (20%) of the shares subject to the option grant vested on May 1, 2020, 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.
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.
F10 Twenty percent (20%) of the shares subject to the option grant vest on May 1, 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.