C3.ai, Inc. — Director's Dealing 2020

Dec 11, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: C3.ai, Inc. (AI)
CIK: 0001577526
Period of Report: 2020-08-27

Reporting Person: SIEBEL THOMAS M (Director, Chief Executive Officer, 10% Owner)
Reporting Person: Siebel Living Trust u/a/d 7/27/93, as amended (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-11	Class A Common Stock	C	170294	—	Acquired	170294	Indirect
2020-12-11	Class A Common Stock	C	72695	—	Acquired	72695	Indirect
2020-12-11	Class A Common Stock	C	1335383	—	Acquired	12057527	Indirect
2020-12-11	Class A Common Stock	C	9216	—	Acquired	9216	Indirect
2020-12-11	Class A Common Stock	C	146198	—	Acquired	1237115	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-11	Series B* Convertible Preferred Stock	$	C	140165	Disposed		Class A Common Stock (140165)	Indirect
2020-12-11	Series B* Convertible Preferred Stock	$	C	59834	Disposed		Class A Common Stock (59834)	Indirect
2020-12-11	Series B-1A* Convertible Preferred Stock	$	C	30129	Disposed		Class A Common Stock (30129)	Indirect
2020-12-11	Series B-1A* Convertible Preferred Stock	$	C	12861	Disposed		Class A Common Stock (12861)	Indirect
2020-12-11	Series B-1A* Convertible Preferred Stock	$	C	38343	Disposed		Class A Common Stock (38343)	Indirect
2020-12-11	Series B-1B* Convertible Preferred Stock	$	C	9216	Disposed		Class A Common Stock (9216)	Indirect
2020-12-11	Series B-1B* Convertible Preferred Stock	$	C	45120	Disposed		Class A Common Stock (45120)	Indirect
2020-12-11	Series C Convertible Preferred	$	C	146198	Disposed		Class A Common Stock (146198)	Indirect
2020-12-11	Series F Convertible Preferred	$	C	1251920	Disposed		Class A Common Stock (1251920)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	2175666	Direct

Footnotes

F1: Immediately upon the closing of the Issuer's initial public offering, all shares of Series B Convertible Preferred Stock, Series B-1A Convertible Preferred Stock, Series B-1B* Convertible Preferred Stock, Series C Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into shares of Class A Common Stock and had no expiration date.

F2: The shares are held by Siebel Asset Management, L.P., of which the Reporting Person is the general partner.

F3: The shares are held by Siebel Asset Management III, L.P., of which the Reporting Person is the general partner.

F4: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee.

F5: The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is Chairman.

F6: The shares are held by The Siebel 2011 Irrevocable Children's Trust, of which the Reporting Person is co-trustee.