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: 2020-07-06

Reporting Person: ABBO EDWARD Y (Chief Technology Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-28	Class A Common Stock	M	72291	$0.60	Acquired	776927	Direct
2020-12-11	Class A Common Stock	C	63647	—	Acquired	840574	Direct
2020-12-11	Class A Common Stock	C	50000	—	Acquired	50000	Indirect
2020-12-11	Class A Common Stock	C	4666	—	Acquired	54666	Indirect
2020-12-11	Class A Common Stock	C	75000	—	Acquired	75000	Indirect
2020-12-11	Class A Common Stock	C	38343	—	Acquired	113343	Indirect
2020-12-11	Class A Common Stock	C	10578	—	Acquired	123921	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-07-06	Stock Option (Right to Buy)	$0.76	A	166666	Acquired	2030-07-05	Class A Common Stock (166666)	Direct
2020-09-28	Stock Option (Right to Buy)	$0.60	M	56250	Disposed	2022-08-12	Class A Common Stock (56250)	Direct
2020-09-28	Stock Option (Right to Buy)	$0.60	M	16041	Disposed	2022-10-24	Class A Common Stock (16041)	Direct
2020-12-11	Series B* Convertible Preferred Stock	$	C	50000	Disposed		Class A Common Stock (50000)	Indirect
2020-12-11	Series B* Convertible Preferred Stock	$	C	75000	Disposed		Class A Common Stock (75000)	Indirect
2020-12-11	Series B-1A* Convertible Preferred Stock	$	C	38343	Disposed		Class A Common Stock (38343)	Indirect
2020-12-11	Series D Convertible Preferred Stock	$	C	63647	Disposed		Class A Common Stock (63647)	Direct
2020-12-11	Series D Convertible Preferred Stock	$	C	4666	Disposed		Class A Common Stock (4666)	Indirect
2020-12-11	Series D Convertible Preferred Stock	$	C	10578	Disposed		Class A Common Stock (10578)	Indirect

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 and Series D Convertible Preferred Stock automatically converted on a 1:1 basis into shares of Class A Common Stock and had no expiration date.

F2: The shares are held by the Abbo 2012 Children's Trust, of which the Reporting Person is trustee.

F3: The shares are held by the Edward Y. Abbo and Alison C. Abbo 2001 Family Trust, of which the Reporting Person is trustee.

F4: Twenty percent (20%) of the shares subject to the option grant vested on July 6, 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.

F5: Fully vested.