C3.ai, Inc. — Director's Dealing 2021

Mar 18, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: C3.ai, Inc. (AI)
CIK: 0001577526
Period of Report: 2021-03-15

Reporting Person: SIEBEL THOMAS M (Director, Chief Executive Officer, 10% Owner)
Reporting Person: Siebel Living Trust u/a/d 7/27/93, as amended (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-15	Class A Common Stock	S	209632	$86.35	Disposed	9584654	Indirect
2021-03-15	Class A Common Stock	S	78628	$87.05	Disposed	9506026	Indirect
2021-03-15	Class A Common Stock	S	116051	$88.29	Disposed	9389975	Indirect
2021-03-15	Class A Common Stock	S	43539	$89.27	Disposed	9346436	Indirect
2021-03-15	Class A Common Stock	S	27091	$90.27	Disposed	9319345	Indirect
2021-03-15	Class A Common Stock	S	9919	$91.27	Disposed	9309426	Indirect
2021-03-16	Class A Common Stock	S	16764	$85.71	Disposed	9292662	Indirect
2021-03-16	Class A Common Stock	S	19601	$86.44	Disposed	9273061	Indirect
2021-03-16	Class A Common Stock	S	5670	$87.27	Disposed	9267391	Indirect
2021-03-16	Class A Common Stock	S	100	$88.09	Disposed	9267291	Indirect
2021-03-17	Class A Common Stock	S	8762	$79.99	Disposed	9258529	Indirect
2021-03-17	Class A Common Stock	S	3800	$80.98	Disposed	9254729	Indirect
2021-03-17	Class A Common Stock	S	10857	$81.97	Disposed	9243872	Indirect
2021-03-17	Class A Common Stock	S	4400	$82.82	Disposed	9239472	Indirect
2021-03-17	Class A Common Stock	M	163934	$1.86	Acquired	2339600	Direct
2021-03-17	Class A Common Stock	S	379410	$80.62	Disposed	1960190	Direct
2021-03-17	Class A Common Stock	S	125225	$81.51	Disposed	1834965	Direct
2021-03-17	Class A Common Stock	S	74671	$82.47	Disposed	1760294	Direct
2021-03-17	Class A Common Stock	S	3904	$83.21	Disposed	1756390	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-17	Stock Option (Right to Buy)	$1.86	M	163934	Disposed	2026-11-29	Class A Common Stock (163934)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	9216	Indirect
Class A Common Stock	170294	Indirect
Class A Common Stock	72695	Indirect
Class A Common Stock	1237115	Indirect

Footnotes

F1: Represents weighted average sales price. The shares were sold at prices ranging from $85.80 to $86.79. 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: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee.

F3: Represents weighted average sales price. The shares were sold at prices ranging from $86.80 to $87.77. 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 $87.84 to $88.83. 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: Represents weighted average sales price. The shares were sold at prices ranging from $88.84 to $89.80. 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.

F6: Represents weighted average sales price. The shares were sold at prices ranging from $89.84 to $90.74. 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.

F7: Represents weighted average sales price. The shares were sold at prices ranging from $90.85 to $91.75. 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.

F8: Represents weighted average sales price. The shares were sold at prices ranging from $85.00 to $85.99. 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.

F9: Represents weighted average sales price. The shares were sold at prices ranging from $86.00 to $86.99. 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.

F10: Represents weighted average sales price. The shares were sold at prices ranging from $87.00 to $87.95. 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.

F11: Represents weighted average sales price. The shares were sold at prices ranging from $79.48 to $80.46. 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.

F12: Represents weighted average sales price. The shares were sold at prices ranging from $80.49 to $81.48. 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.

F13: Represents weighted average sales price. The shares were sold at prices ranging from $81.51 to $82.33. 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.

F14: Represents weighted average sales price. The shares were sold at prices ranging from $82.71 to $83.30. 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.

F15: Represents weighted average sales price. The shares were sold at prices ranging from $80.16 to $81.15. 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.

F16: Represents weighted average sales price. The shares were sold at prices ranging from $81.16 to $82.15. 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.

F17: Represents weighted average sales price. The shares were sold at prices ranging from $82.16 to $83.15. 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.

F18: Represents weighted average sales price. The shares were sold at prices ranging from $83.18 to $83.28. 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.

F19: The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is Chairman.

F20: The shares are held by Siebel Asset Management, L.P., of which the Reporting Person is the general partner.

F21: The shares are held by Siebel Asset Management III, L.P., of which the Reporting Person is the general partner.

F22: The shares are held by The Siebel 2011 Irrevocable Children's Trust, of which the Reporting Person is co-trustee.

F23: The options vest on an equal quarterly basis over the five (5) year period following November 30, 2016, so long as the Reporting Person continues to provide services through such vesting dates.