C3.ai, Inc. — Director's Dealing 2021

Dec 29, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: C3.ai, Inc. (AI)
CIK: 0001577526
Period of Report: 2021-12-23

Reporting Person: ABBO EDWARD Y (Chief Technology Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-08	Class A Common Stock	G	3000	$0.00	Disposed	56415	Direct
2021-08-16	Class A Common Stock	G	99137	$0.00	Disposed	0	Indirect
2021-08-16	Class A Common Stock	G	99137	$0.00	Acquired	155552	Direct
2021-12-23	Class A Common Stock	M	13238	$2.82	Acquired	168790	Direct
2021-12-23	Class A Common Stock	M	21929	$4.56	Acquired	190719	Direct
2021-12-23	Class A Common Stock	M	21929	$4.56	Acquired	212648	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-12-23	Stock Option (Right to Buy)	$34.25	A	300000	Acquired	2031-12-22	Class A Common Stock (300000)	Direct
2021-12-23	Stock Option (Right to Buy)	$2.82	M	13238	Disposed	2028-05-22	Class A Common Stock (13238)	Direct
2021-12-23	Stock Option (Right to Buy)	$4.56	M	21929	Disposed	2029-06-12	Class A Common Stock (21929)	Direct
2021-12-23	Stock Option (Right to Buy)	$4.56	M	21929	Disposed	2030-07-05	Class A Common Stock (21929)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	149577	Indirect
Class A Common Stock	149578	Indirect
Class A Common Stock	149578	Indirect

Footnotes

F1: The shares are held by the Edward Y. Abbo and Alison C. Abbo 2001 Family Trust, of which the Reporting Person is trustee.

F2: The shares were received in connection with the division of the Abbo 2012 Children's Trust. The shares are held by the Abbo 2012 Children's Trust FBO Casey Cecile Abbo, of which the Reporting Person is trustee.

F3: The shares were received in connection with the division of the Abbo 2012 Children's Trust. The shares are held by the Abbo 2012 Children's Trust FBO Dana Lauren Abbo, of which the Reporting Person is trustee.

F4: The shares were received in connection with the division of the Abbo 2012 Children's Trust. The shares are held by the Abbo 2012 Children's Trust FBO Layla Grace Abbo, of which the Reporting Person is trustee.

F5: Twenty percent (20%) of the shares subject to the option grant shall vest on December 15, 2022, 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 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.

F7: Due to rounding in connection with the reverse stock split, the total shares include 2 additional shares that were not originally reported on the Reporting Person's Form 3.

F8: 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.

F9: Due to rounding in connection with the reverse stock split, the total shares include 1 additional share that was not originally reported on the Reporting Person's Form 3.

F10: Twenty percent (20%) of the shares subject to the option grant vest 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.