David Barter - Nov 12, 2021 Form 4 Insider Report for C3.ai, Inc. (AI)

Role
Senior VP and CFO
Signature
/s/ Brady Mickelsen, Attorney-in-Fact
Stock symbol
AI
Transactions as of
Nov 12, 2021
Transactions value $
-$354,583
Form type
4
Date filed
11/15/2021, 04:46 PM
Previous filing
Oct 14, 2021
Next filing
Aug 19, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AI Class A Common Stock Options Exercise $332K +19.4K +30.86% $17.10 82.4K Nov 12, 2021 Direct F1
transaction AI Class A Common Stock Sale -$575K -12.5K -15.14% $46.10 70K Nov 12, 2021 Direct F1
transaction AI Class A Common Stock Sale -$112K -2.37K -3.38% $47.27 67.6K Nov 12, 2021 Direct F1

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) Options Exercise $0 -19.4K -2.08% $0.00 914K Nov 12, 2021 Class A Common Stock 19.4K $17.10 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Transaction pursuant to a previously established Rule 10b5-1 Plan.
F2 Twenty percent (20%) of the shares subject to the option grant vested on October 8, 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.