C3.ai, Inc. — Director's Dealing 2021

Mar 11, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: C3.ai, Inc. (AI)
CIK: 0001577526
Period of Report: 2021-02-25

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-02-25	Class A Common Stock	M	21367	$4.68	Acquired	52116	Direct
2021-03-04	Class A Common Stock	G	27333	$0.00	Disposed	0	Indirect
2021-03-04	Class A Common Stock	G	27333	$0.00	Acquired	79449	Direct
2021-03-08	Class A Common Stock	M	6867	$4.68	Acquired	86316	Direct
2021-03-08	Class A Common Stock	S	8702	$84.48	Disposed	77614	Direct
2021-03-08	Class A Common Stock	S	12700	$85.53	Disposed	64914	Direct
2021-03-08	Class A Common Stock	S	7600	$86.57	Disposed	57314	Direct
2021-03-08	Class A Common Stock	S	5600	$87.53	Disposed	51714	Direct
2021-03-08	Class A Common Stock	S	6200	$88.42	Disposed	45514	Direct
2021-03-08	Class A Common Stock	S	12567	$89.29	Disposed	32947	Direct
2021-03-08	Class A Common Stock	S	4700	$90.56	Disposed	28247	Direct
2021-03-08	Class A Common Stock	S	4480	$91.57	Disposed	23767	Direct
2021-03-08	Class A Common Stock	S	2400	$92.39	Disposed	21367	Direct
2021-03-08	Class A Common Stock	J	241	$0.00	Acquired	241	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-02-25	Option (Right to Buy)	$4.68	M	21367	Disposed	2029-11-12	Class A Common Stock (21367)	Direct
2021-03-08	Option (Right to Buy)	$4.68	M	6867	Disposed	2029-11-12	Class A Common Stock (6867)	Direct

Footnotes

F1: The shares are held by the Cleveland Family Trust, of which the Reporting Person is trustee.

F2: Represents weighted average sales price. The shares were sold at prices ranging from $84.00 to $84.99. 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.

F3: 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.

F4: 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.

F5: Represents weighted average sales price. The shares were sold at prices ranging from $87.00 to $87.99. 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.

F6: Represents weighted average sales price. The shares were sold at prices ranging from $88.00 to $88.99. 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.

F7: Represents weighted average sales price. The shares were sold at prices ranging from $89.00 to $89.99. 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.

F8: Represents weighted average sales price. The shares were sold at prices ranging from $90.00 to $90.99. 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 $91.01 to $92.00. 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 $92.04 to $92.98. 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: Pro rata distribution from Interwest Partners X, LP, of which the Reporting Person is a non-managing member.

F12: 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.