Merel Witteveen - Jun 19, 2024 Form 3 Insider Report for C3.ai, Inc. (AI)

Role
Interim COO
Signature
/s/ Eric Jensen, Attorney-in-Fact
Stock symbol
AI
Transactions as of
Jun 19, 2024
Transactions value $
$0
Form type
3
Date filed
6/28/2024, 09:36 PM
Next filing
Jul 30, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding AI Class A Common Stock 1.23K Jun 19, 2024 Direct

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
holding AI Stock Option (Right to Buy) Jun 19, 2024 Class A Common Stock 108 $4.56 Direct F1
holding AI Stock Option (Right to Buy) Jun 19, 2024 Class A Common Stock 6.25K $4.56 Direct F2
holding AI Stock Option (Right to Buy) Jun 19, 2024 Class A Common Stock 36.7K $34.25 Direct F3
holding AI Resticted Stock Units Jun 19, 2024 Class A Common Stock 13.5K Direct F4, F5
holding AI Restricted Stock Units Jun 19, 2024 Class A Common Stock 25K Direct F5, F6
holding AI Restricted Stock Units Jun 19, 2024 Class A Common Stock 130K Direct F5, F7
holding AI Restricted Stock Units Jun 19, 2024 Class A Common Stock 30K Direct F5, F8
holding AI Restricted Stock Units Jun 19, 2024 Class A Common Stock 50K Direct F5, F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 20% of the shares subject to the option grant vested on May 1, 2020, and the remaining 80% of the shares vest on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. The original grant was for 1,667 of which 1,559 shares have been exercised.
F2 20% of the shares subject to the option grant vested on May 1, 2021, and the remaining 80% of the shares vest on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. The original grant was for 25,001 of which 18,754 shares have been exercised.
F3 20% of the shares subject to the option grant vested on December 15, 2022, and the remaining 80% of the shares vest on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. The original grant was for 50,000 of which 13,333 shares have been exercised.
F4 20% of such restricted stock award ("RSU") award vested on June 23, 2022 and 5% of such RSU award vest on a quarterly basis thereafter, so long as the Reporting Person continues to provide services through such vesting date. The original grant was for 30,000 of which 16,500 shares have vested and been released.
F5 Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement.
F6 6.25% of such RSU award vested on the third month following July 6, 2022 and 6.25% of each RSU award vest on a quarterly basis thereafter, so long as the Reporting Person continues to provide services through such vesting date. The original grant was for 50,000 of which 25,000 shares have vested and been released.
F7 20% of such RSU award vested August 16, 2023 and 5% of such RSU award vest on a quarterly basis thereafter, so long as the Reporting Person continues to provide services through such vesting date. The original grant was for 200,000 of which 70,000 shares have vested and been released.
F8 6.25% of such RSU award vest in a series of equal quarterly installments on the last day of each fiscal quarter following May 1, 2025, so long as the Reporting Person continues to provide services through such vesting date.
F9 20% of such RSU award vest on June 15, 2025 and 5% of such RSU award vest on a quarterly basis thereafter, so long as the Reporting Person continues to provide services through such vesting date.