C3.ai, Inc. — Director's Dealing 2021

Jun 14, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: C3.ai, Inc. (AI)
CIK: 0001577526
Period of Report: 2021-06-10

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-06-10	Class A Common Stock	M	50000	$4.68	Acquired	71367	Direct
2021-06-10	Class A Common Stock	S	20989	$58.32	Disposed	50378	Direct
2021-06-10	Class A Common Stock	S	13377	$59.34	Disposed	37001	Direct
2021-06-10	Class A Common Stock	S	6243	$60.28	Disposed	30758	Direct
2021-06-10	Class A Common Stock	S	8925	$61.36	Disposed	21833	Direct
2021-06-10	Class A Common Stock	S	466	$62.37	Disposed	21367	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-06-10	Option (Right to Buy)	$4.68	M	50000	Disposed	2029-11-12	Class A Common Stock (50000)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	241	Indirect

Footnotes

F1: Represents weighted average sales price. The shares were sold at prices ranging from $57.92 to $58.91. 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.

F2: Represents weighted average sales price. The shares were sold at prices ranging from $58.92 to $59.91. 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 $59.92 to $60.81. 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 weighted average sales price. The shares were sold at prices ranging from $60.97 to $61.91. 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.

F5: The shares are held by the Cleveland Family Trust, of which the Reporting Person is trustee.

F6: Twenty percent (20%) of the shares subject to the option grant vested on November 4, 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.