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C3.ai, Inc. — Director's Dealing 2020
Dec 8, 2020
31545_dirs_2020-12-08_ae2b1e38-03a5-44c6-90f6-b09f5301565e.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: C3.ai, Inc. (AI)
CIK: 0001577526
Period of Report: 2020-12-08
Reporting Person: Behzadi Houman (Chief Product Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 231108 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $1.56 | 2024-01-20 | Class A Common Stock (94978) | Direct | |
| Stock Option (Right to Buy) | $1.68 | 2026-07-12 | Class A Common Stock (133332) | Direct | |
| Stock Option (Right to Buy) | $1.86 | 2026-11-29 | Class A Common Stock (166666) | Direct | |
| Stock Option (Right to Buy) | $1.86 | 2027-06-07 | Class A Common Stock (434666) | Direct | |
| Stock Option (Right to Buy) | $2.82 | 2028-05-22 | Class A Common Stock (41665) | Direct | |
| Stock Option (Right to Buy) | $4.56 | 2029-06-12 | Class A Common Stock (124999) | Direct | |
| Stock Option (Right to Buy) | $4.56 | 2030-07-05 | Class A Common Stock (166666) | Direct |
Footnotes
F1: Fully vested.
F2: Twenty percent (20%) of the shares subject to the option grant vested on May 16, 2017, 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.
F3: Twenty percent (20%) of the shares subject to the option grant vested on November 30, 2017, 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.
F4: Twenty percent (20%) of the shares subject to the option grant vested on May 12, 2018, 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: Twenty percent (20%) of the shares subject to the option grant vested on May 23, 2019, 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.
F6: Twenty percent (20%) of the shares subject to the option grant vested on May 1, 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.
F7: Twenty percent (20%) of the shares subject to the option grant vested on May 1, 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.