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

Role
Chief Technology Officer
Signature
/s/ Richard J. Lutton, Jr., Attorney-in-Fact
Issuer symbol
AI
Transactions as of
23 Dec 2021
Net transactions value
+$237,324
Form type
4
Filing time
28 Dec 2021, 17:01:38 UTC
Previous filing
22 Nov 2021
Next filing
24 Jun 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 Gift $0 -3,000 -5% $0.000000 56,415 08 Mar 2021 Direct
transaction AI Class A Common Stock Gift $0 -99,137 -100% $0.000000* 0 16 Aug 2021 See Footnote F1
transaction AI Class A Common Stock Gift $0 +99,137 +176% $0.000000 155,552 16 Aug 2021 Direct
transaction AI Class A Common Stock Options Exercise $37,331 +13,238 +8.5% $2.82* 168,790 23 Dec 2021 Direct
transaction AI Class A Common Stock Options Exercise $99,996 +21,929 +13% $4.56* 190,719 23 Dec 2021 Direct
transaction AI Class A Common Stock Options Exercise $99,996 +21,929 +11% $4.56* 212,648 23 Dec 2021 Direct
holding AI Class A Common Stock 149,577 23 Dec 2021 See Footnote F2
holding AI Class A Common Stock 149,578 23 Dec 2021 See Footnote F3
holding AI Class A Common Stock 149,578 23 Dec 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 +300,000 $0.000000 300,000 23 Dec 2021 Class A Common Stock 300,000 $34.25 Direct F5
transaction AI Stock Option (Right to Buy) Options Exercise $0 -13,238 -22% $0.000000 47,874 23 Dec 2021 Class A Common Stock 13,238 $2.82 Direct F6, F7
transaction AI Stock Option (Right to Buy) Options Exercise $0 -21,929 -13% $0.000000 144,738 23 Dec 2021 Class A Common Stock 21,929 $4.56 Direct F8, F9
transaction AI Stock Option (Right to Buy) Options Exercise $0 -21,929 -13% $0.000000 144,738 23 Dec 2021 Class A Common Stock 21,929 $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.