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: 2020-12-11

Reporting Person: CLEVELAND BRUCE A (Senior VP and CMO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-11	Class A Common Stock	C	25000	—	Acquired	25000	Indirect
2020-12-11	Class A Common Stock	C	2333	—	Acquired	27333	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-11	Series B* Convertible Preferred Stock	$	C	25000	Disposed		Class A Common Stock (25000)	Indirect
2020-12-11	Series D Convertible Preferred Stock	$	C	2333	Disposed		Class A Common Stock (2333)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	30749	Direct

Footnotes

F1: Immediately upon the closing of the Issuer's initial public offering, all shares of Series B* 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 Cleveland Family Trust, of which the Reporting Person is trustee.