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C3.ai, Inc. — Director's Dealing 2021
Aug 24, 2021
31545_dirs_2021-08-23_4faef7b5-f202-4683-b25a-007236aac482.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: C3.ai, Inc. (AI)
CIK: 0001577526
Period of Report: 2021-08-19
Reporting Person: ABBO EDWARD Y (Chief Technology Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-08-19 | Class A Common Stock | M | 34707 | $1.56 | Acquired | 434691 | Direct |
| 2021-08-19 | Class A Common Stock | S | 33707 | $44.94 | Disposed | 400984 | Direct |
| 2021-08-19 | Class A Common Stock | S | 1000 | $45.55 | Disposed | 399984 | Direct |
| 2021-08-21 | Class A Common Stock | A | 100000 | $0.00 | Acquired | 499984 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-08-19 | Stock Option (Right to Buy) | $1.56 | M | 34707 | Disposed | 2024-01-20 | Class A Common Stock (34707) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 54666 | Indirect |
| Class A Common Stock | 123921 | Indirect |
Footnotes
F1: Transaction pursuant to a previously established Rule 10b5-1 Plan.
F2: Represents weighted average sales price. The shares were sold at prices ranging from $44.48 to $45.47. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F3: Represents weighted average sales price. The shares were sold at prices ranging from $45.48 to $45.65. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F4: Represents the grant of Restricted Stock Units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. 100% of the RSUs will fully vest on September 15, 2022 so long as the Reporting Person continues to provide services through such vesting date.
F5: The shares are held by the Abbo 2012 Children's Trust, of which the Reporting Person is trustee.
F6: The shares are held by the Edward Y. Abbo and Alison C. Abbo 2001 Family Trust, of which the Reporting Person is trustee.
F7: Fully vested.