Filing Details

Accession Number:
0001209191-21-019676
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-03-10 21:12:59
Reporting Period:
2021-02-25
Accepted Time:
2021-03-10 21:12:59
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1577526 C3.ai Inc. AI () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1333063 A Bruce Cleveland C/o C3.ai, Inc.
1300 Seaport Blvd, Suite 500
Redwood City CA 94063
Senior Vp And Cmo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2021-02-25 21,367 $4.68 52,116 No 4 M Direct
Class A Common Stock Disposition 2021-03-04 27,333 $0.00 0 No 5 G Indirect See Footnote
Class A Common Stock Acquisiton 2021-03-04 27,333 $0.00 79,449 No 5 G Direct
Class A Common Stock Acquisiton 2021-03-08 6,867 $4.68 86,316 No 4 M Direct
Class A Common Stock Disposition 2021-03-08 8,702 $84.48 77,614 No 4 S Direct
Class A Common Stock Disposition 2021-03-08 12,700 $85.53 64,914 No 4 S Direct
Class A Common Stock Disposition 2021-03-08 7,600 $86.57 57,314 No 4 S Direct
Class A Common Stock Disposition 2021-03-08 5,600 $87.53 51,714 No 4 S Direct
Class A Common Stock Disposition 2021-03-08 6,200 $88.42 45,514 No 4 S Direct
Class A Common Stock Disposition 2021-03-08 12,567 $89.29 32,947 No 4 S Direct
Class A Common Stock Disposition 2021-03-08 4,700 $90.56 28,247 No 4 S Direct
Class A Common Stock Disposition 2021-03-08 4,480 $91.57 23,767 No 4 S Direct
Class A Common Stock Disposition 2021-03-08 2,400 $92.39 21,367 No 4 S Direct
Class A Common Stock Acquisiton 2021-03-08 241 $0.00 241 No 4 J Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 5 G Indirect See Footnote
No 5 G Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 J Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Option (Right to Buy) Disposition 2021-02-25 21,367 $0.00 21,367 $4.68
Class A Common Stock Option (Right to Buy) Disposition 2021-03-08 6,867 $0.00 6,867 $4.68
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
978,634 2029-11-12 No 4 M Direct
971,767 2029-11-12 No 4 M Direct
Footnotes
  1. The shares are held by the Cleveland Family Trust, of which the Reporting Person is trustee.
  2. Represents weighted average sales price. The shares were sold at prices ranging from $84.00 to $84.99. 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.
  3. Represents weighted average sales price. The shares were sold at prices ranging from $85.00 to $85.99. 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.
  4. Represents weighted average sales price. The shares were sold at prices ranging from $86.00 to $86.99. 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.
  5. Represents weighted average sales price. The shares were sold at prices ranging from $87.00 to $87.99. 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.
  6. Represents weighted average sales price. The shares were sold at prices ranging from $88.00 to $88.99. 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.
  7. Represents weighted average sales price. The shares were sold at prices ranging from $89.00 to $89.99. 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.
  8. Represents weighted average sales price. The shares were sold at prices ranging from $90.00 to $90.99. 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.
  9. Represents weighted average sales price. The shares were sold at prices ranging from $91.01 to $92.00. 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.
  10. Represents weighted average sales price. The shares were sold at prices ranging from $92.04 to $92.98. 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.
  11. Pro rata distribution from Interwest Partners X, LP, of which the Reporting Person is a non-managing member.
  12. Twenty percent (20%) of the shares subject to the option grant vested on November 4, 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.