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: 2021-03-08

Reporting Person: Behzadi Houman (Chief Product Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-08	Class A Common Stock	M	50000	$1.56	Acquired	281108	Direct
2021-03-08	Class A Common Stock	S	2603	$83.47	Disposed	278505	Direct
2021-03-08	Class A Common Stock	S	3700	$84.65	Disposed	274805	Direct
2021-03-08	Class A Common Stock	S	11287	$85.46	Disposed	263518	Direct
2021-03-08	Class A Common Stock	S	6101	$86.42	Disposed	257417	Direct
2021-03-08	Class A Common Stock	S	5500	$87.38	Disposed	251917	Direct
2021-03-08	Class A Common Stock	S	5566	$88.35	Disposed	246351	Direct
2021-03-08	Class A Common Stock	S	5331	$89.29	Disposed	241020	Direct
2021-03-08	Class A Common Stock	S	3800	$90.46	Disposed	237220	Direct
2021-03-08	Class A Common Stock	S	3500	$91.47	Disposed	233720	Direct
2021-03-08	Class A Common Stock	S	2612	$92.36	Disposed	231108	Direct
2021-03-09	Class A Common Stock	M	50000	$1.86	Acquired	281108	Direct
2021-03-09	Class A Common Stock	S	6000	$83.82	Disposed	275108	Direct
2021-03-09	Class A Common Stock	S	21200	$84.77	Disposed	253908	Direct
2021-03-09	Class A Common Stock	S	13600	$85.52	Disposed	240308	Direct
2021-03-09	Class A Common Stock	S	6500	$86.66	Disposed	233808	Direct
2021-03-09	Class A Common Stock	S	2400	$87.62	Disposed	231408	Direct
2021-03-09	Class A Common Stock	S	300	$88.36	Disposed	231108	Direct
2021-03-10	Class A Common Stock	M	44979	$1.56	Acquired	276087	Direct
2021-03-10	Class A Common Stock	M	52860	$1.86	Acquired	328947	Direct
2021-03-10	Class A Common Stock	S	17734	$83.71	Disposed	311213	Direct
2021-03-10	Class A Common Stock	S	46717	$84.45	Disposed	264496	Direct
2021-03-10	Class A Common Stock	S	6000	$85.23	Disposed	258496	Direct
2021-03-10	Class A Common Stock	S	7400	$86.77	Disposed	251096	Direct
2021-03-10	Class A Common Stock	S	12475	$87.72	Disposed	238621	Direct
2021-03-10	Class A Common Stock	S	4613	$88.78	Disposed	234008	Direct
2021-03-10	Class A Common Stock	S	2900	$89.58	Disposed	231108	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-08	Stock Option (Right to Buy)	$1.56	M	50000	Disposed	2024-01-20	Class A Common Stock (50000)	Direct
2021-03-09	Stock Option (Right to Buy)	$1.86	M	50000	Disposed	2026-11-26	Class A Common Stock (50000)	Direct
2021-03-10	Stock Option (Right to Buy)	$1.56	M	44979	Disposed	2024-01-20	Class A Common Stock (44979)	Direct
2021-03-10	Stock Option (Right to Buy)	$1.86	M	52860	Disposed	2026-11-26	Class A Common Stock (52860)	Direct

Footnotes

F1: Represents weighted average sales price. The shares were sold at prices ranging from $82.92 to $83.902. 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 $83.92 to $84.91. 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 $84.92 to $85.91. 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.

F4: Represents weighted average sales price. The shares were sold at prices ranging from $85.92 to $86.91. 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: Represents weighted average sales price. The shares were sold at prices ranging from $86.92 to $87.91. 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.

F6: Represents weighted average sales price. The shares were sold at prices ranging from $87.96 to $88.93. 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 $88.98 to $89.97. 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 $89.99 to $90.98. 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.

F9: Represents weighted average sales price. The shares were sold at prices ranging from $90.99 to $91.97. 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 $91.99 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: Represents weighted average sales price. The shares were sold at prices ranging from $83.20 to $84.18. 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 $84.20 to $85.19. 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 $85.20 to $86.15. 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.

F14: Represents weighted average sales price. The shares were sold at prices ranging from $86.20 to $87.15. 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.

F15: Represents weighted average sales price. The shares were sold at prices ranging from $87.23 to $88.18. 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 $88.25 to $88.42. 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 $82.99 to $83.98. 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.

F18: Represents weighted average sales price. The shares were sold at prices ranging from $83.99 to $84.98. 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.

F19: Represents weighted average sales price. The shares were sold at prices ranging from $84.99 to $85.98. 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.

F20: Represents weighted average sales price. The shares were sold at prices ranging from $86.30 to $87.22. 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.

F21: Represents weighted average sales price. The shares were sold at prices ranging from $87.31 to $88.30. 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.

F22: Represents weighted average sales price. The shares were sold at prices ranging from $88.31 to $89.30. 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.

F23: Represents weighted average sales price. The shares were sold at prices ranging from $89.36 to $89.82. 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.

F24: Fully vested.

F25: Twenty percent (20%) of the shares subject to the option grant vested on November 30, 2017, 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.