Thomas M. Siebel - 14 Jan 2025 Form 4 Insider Report for C3.ai, Inc. (AI)

Reporting relationship: CHIEF EXECUTIVE OFFICER, Director, 10%+ Owner
Issuer ticker: AI
Reported as of: 14 Jan 2025
Net transaction value: -$19,645,201
SEC form: 4
Accepted by SEC: 16 Jan 2025, 19:23:41 UTC
Prior SEC filing: 03 Dec 2024
Next SEC filing: 04 Feb 2025
Source filing: View source filing
Reporting owner signature: /s/ Eric Jensen, Attorney-in-Fact

Key filing fact

Thomas M. Siebel filed Form 4 for C3.ai, Inc. (AI) on 16 Jan 2025.

Key facts

This page summarizes Thomas M. Siebel's Form 4 filing for C3.ai, Inc. (AI).
8 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 16 Jan 2025, 19:23.

Change

Previous filing in this sequence was filed on 03 Dec 2024.
Current net transaction value: -$19,645,201.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

AI transaction

Class A Common Stock

Options Exercise

Transaction value: $762,286
Shares: +409,831
Change %: +23%
Price: $1.86
Shares after: 2,166,221
Date: 14 Jan 2025
Ownership: Direct
Footnotes: F1

AI transaction

Class A Common Stock

Sale

Transaction value: $9,850,966
Shares: -319,629
Change %: -15%
Price: $30.82
Shares after: 1,846,592
Date: 14 Jan 2025
Ownership: Direct
Footnotes: F1, F2

AI transaction

Class A Common Stock

Sale

Transaction value: $2,839,559
Shares: -90,202
Change %: -4.9%
Price: $31.48
Shares after: 1,756,390
Date: 14 Jan 2025
Ownership: Direct
Footnotes: F1, F3

AI transaction

Class A Common Stock

Options Exercise

Transaction value: $475,418
Shares: +255,601
Change %: +15%
Price: $1.86
Shares after: 2,011,991
Date: 15 Jan 2025
Ownership: Direct
Footnotes: F1

AI transaction

Class A Common Stock

Sale

Transaction value: $7,101,896
Shares: -222,212
Change %: -11%
Price: $31.96
Shares after: 1,789,779
Date: 15 Jan 2025
Ownership: Direct
Footnotes: F1, F4

AI transaction

Class A Common Stock

Sale

Transaction value: $1,090,485
Shares: -33,389
Change %: -1.9%
Price: $32.66
Shares after: 1,756,390
Date: 15 Jan 2025
Ownership: Direct
Footnotes: F1, F5

AI holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 4,976,079
Date: 14 Jan 2025
Ownership: See Footnote
Footnotes: F6

AI holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 9,216
Date: 14 Jan 2025
Ownership: See Footnote
Footnotes: F7

AI holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 170,924
Date: 14 Jan 2025
Ownership: See Footnote
Footnotes: F8

AI holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 72,695
Date: 14 Jan 2025
Ownership: See Footnote
Footnotes: F9

AI holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 1,237,115
Date: 14 Jan 2025
Ownership: See Footnote
Footnotes: F10

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

AI transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value: $0
Shares: -409,831
Change %: -51%
Price: $0.000000
Shares after: 388,601
Date: 14 Jan 2025
Ownership: Direct
Underlying class: Class A Common Stock
Underlying amount: 409,831
Exercise price: $1.86
Footnotes: F1, F11

AI transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value: $0
Shares: -255,601
Change %: -66%
Price: $0.000000
Shares after: 133,000
Date: 15 Jan 2025
Ownership: Direct
Underlying class: Class A Common Stock
Underlying amount: 255,601
Exercise price: $1.86
Footnotes: F1, F11

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Rule 10b5-1 trading plan

These transactions were reported as open-market trades under a Rule 10b5-1 plan. The plan lets an insider set trading instructions in advance, which can reduce the risk of trading while in possession of material nonpublic information.

Original filing language: transaction made pursuant to a contract, instruction, or written plan intended to satisfy Rule 10b5-1(c).

Explanation of responses 11 footnotes

Footnote F1

The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 20, 2024.

Footnote F2

Represents weighted average sales price. The shares were sold at prices ranging from $30.24 to $31.23. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Footnote F3

Represents weighted average sales price. The shares were sold at prices ranging from $31.24 to $32.17. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Footnote F4

Represents weighted average sales price. The shares were sold at prices ranging from $31.535 to $32.53. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Footnote F5

Represents weighted average sales price. The shares were sold at prices ranging from $32.535 to $33.00. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Footnote F6

The shares are held by The Siebel Living Trust u/a/d 7/27/93, as amended, of which the Reporting Person is trustee.

Footnote F7

The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is Chairman.

Footnote F8

The shares are held by Siebel Asset Management, L.P., of which the Reporting Person is the general partner.

Footnote F9

The shares are held by Siebel Asset Management III, L.P., of which the Reporting Person is the general partner.

Footnote F10

The shares are held by The Siebel 2011 Irrevocable Children's Trust, of which the Reporting Person is co-trustee.

Footnote F11

Fully vested.

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