THOMAS M. SIEBEL - 07 Dec 2021 Form 4 Insider Report for C3.ai, Inc. (AI)

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Richard J. Lutton, Jr., Attorney-in-Fact
Issuer symbol
AI
Transactions as of
07 Dec 2021
Net transactions value
$0
Form type
4
Filing time
29 Apr 2022, 16:14:15 UTC
Previous filing
17 Nov 2021
Next filing
05 Jul 2022
SEC
View on sec.gov

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 Class B Common Stock Gift $0 -2,201 -2.7% $0.000000 79,908 07 Dec 2021 Class A Common Stock 2,201 See Footnote F1, F2, F3
transaction AI Class B Common Stock Gift $0 -2,201 -2.7% $0.000000 79,908 07 Dec 2021 Class A Common Stock 2,201 See Footnote F1, F2, F4
transaction AI Class B Common Stock Gift $0 -723 -3% $0.000000 23,035 07 Dec 2021 Class A Common Stock 723 See Footnote F1, F2, F5
transaction AI Class B Common Stock Gift $0 -723 -3% $0.000000 23,035 07 Dec 2021 Class A Common Stock 723 See Footnote F1, F2, F6
transaction AI Class B Common Stock Gift $0 -3,636 -35% $0.000000 6,614 07 Dec 2021 Class A Common Stock 3,636 See Footnote F1, F2, F7
transaction AI Class B Common Stock Gift $0 -3,636 -35% $0.000000 6,614 07 Dec 2021 Class A Common Stock 3,636 See Footnote F1, F2, F8
transaction AI Class B Common Stock Gift $0 +13,120 +0.64% $0.000000 2,048,302 07 Dec 2021 Class A Common Stock 13,120 See Footnote F1, F9, F10
transaction AI Class B Common Stock Gift $0 -1,432 -7.8% $0.000000 16,921 27 Dec 2021 Class A Common Stock 1,432 See Footnote F1, F11, F12
transaction AI Class B Common Stock Gift $0 -1,432 -7.8% $0.000000 16,921 27 Dec 2021 Class A Common Stock 1,432 See Footnote F1, F11, F13
transaction AI Class B Common Stock Gift $0 +2,864 +0.14% $0.000000 2,051,166 27 Dec 2021 Class A Common Stock 2,864 See Footnote F1, F10, F11
transaction AI Class B Common Stock Gift $0 -79,908 -100% $0.000000* 0 31 Dec 2021 Class A Common Stock 79,908 See Footnote F1, F3, F14
transaction AI Class B Common Stock Gift $0 -79,908 -100% $0.000000* 0 31 Dec 2021 Class A Common Stock 79,908 See Footnote F1, F4, F14
transaction AI Class B Common Stock Gift $0 -23,035 -100% $0.000000* 0 31 Dec 2021 Class A Common Stock 23,035 See Footnote F1, F5, F14
transaction AI Class B Common Stock Gift $0 -23,035 -100% $0.000000* 0 31 Dec 2021 Class A Common Stock 23,035 See Footnote F1, F6, F14
transaction AI Class B Common Stock Gift $0 -16,921 -100% $0.000000* 0 31 Dec 2021 Class A Common Stock 16,921 See Footnote F1, F12, F14
transaction AI Class B Common Stock Gift $0 -16,921 -100% $0.000000* 0 31 Dec 2021 Class A Common Stock 16,921 See Footnote F1, F13, F14
transaction AI Class B Common Stock Gift $0 -17,792 -100% $0.000000* 0 18 Mar 2022 Class A Common Stock 17,792 See Footnote F1, F15, F16
transaction AI Class B Common Stock Gift $0 -17,792 -100% $0.000000* 0 18 Mar 2022 Class A Common Stock 17,792 See Footnote F1, F15, F17
transaction AI Class B Common Stock Gift $0 +8,426 +0.41% $0.000000 2,059,592 18 Mar 2022 Class A Common Stock 8,426 See Footnote F1, F10, F18
holding AI Class B Common Stock 500,000 07 Dec 2021 Class A Common Stock 500,000 See Footnote F1, F19
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock.
F2 On December 7, 2021, shares held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments.
F3 The shares are held by The Siebel 2014 Annuity Trust I u/a/d 10/22/2014, of which the Reporting Person is the trustee.
F4 The shares are held by The Siebel 2014 Annuity Trust II u/a/d 10/22/2014, of which the Reporting Person is the trustee.
F5 The shares are held by The Siebel 2017 Annuity Trust I u/a/d 11/28/2017, of which the Reporting Person is the trustee.
F6 The shares are held by The Siebel 2017 Annuity Trust II u/a/d 11/28/2017, of which the Reporting Person is the trustee.
F7 The shares are held by The Siebel 2020 Annuity Trust III u/a/d 12/3/2020, of which the Reporting Person is the trustee.
F8 The shares are held by The Siebel 2020 Annuity Trust IV u/a/d 12/3/2020, of which the Reporting Person is the trustee.
F9 On December 7, 2021, these shares that were held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments.
F10 The shares are held by The Siebel Living Trust u/a/d 7/27/93, as amended, of which the Reporting Person is trustee.
F11 On December 27, 2021, these shares that were held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments.
F12 The shares are held by The Siebel 2018 Annuity Trust I u/a/d 12/13/2018, of which the Reporting Person is the trustee.
F13 The shares are held by The Siebel 2018 Annuity Trust II u/a/d 12/18/2018, of which the Reporting Person is the trustee.
F14 On December 31, 2021, shares held by related annuity trusts were transferred to the beneficiaries of such annuity trusts.
F15 On March 18, 2022, 4,213 of the shares held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments and 13,579 of the shares held by related annuity trusts were transferred to the beneficiaries of such annuity trusts.
F16 The shares are held by The Siebel 2020 Annuity Trust I u/a/d 3/4/2020, of which the Reporting Person is the trustee.
F17 The shares are held by The Siebel 2020 Annuity Trust II u/a/d 3/4/2020, of which the Reporting Person is the trustee.
F18 On March 18, 2022, these shares that were held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments.
F19 The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is Chairman.