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C3.ai, Inc. — Director's Dealing 2022
Apr 29, 2022
31545_dirs_2022-04-29_58c29c3a-0337-4789-82ea-f4f711cd4bcd.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: 2021-12-07
Reporting Person: SIEBEL THOMAS M (Director, Chief Executive Officer, 10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-12-07 | Class B Common Stock | $ | G | 2201 | Disposed | Class A Common Stock (2201) | Indirect | |
| 2021-12-07 | Class B Common Stock | $ | G | 2201 | Disposed | Class A Common Stock (2201) | Indirect | |
| 2021-12-07 | Class B Common Stock | $ | G | 723 | Disposed | Class A Common Stock (723) | Indirect | |
| 2021-12-07 | Class B Common Stock | $ | G | 723 | Disposed | Class A Common Stock (723) | Indirect | |
| 2021-12-07 | Class B Common Stock | $ | G | 3636 | Disposed | Class A Common Stock (3636) | Indirect | |
| 2021-12-07 | Class B Common Stock | $ | G | 3636 | Disposed | Class A Common Stock (3636) | Indirect | |
| 2021-12-07 | Class B Common Stock | $ | G | 13120 | Acquired | Class A Common Stock (13120) | Indirect | |
| 2021-12-27 | Class B Common Stock | $ | G | 1432 | Disposed | Class A Common Stock (1432) | Indirect | |
| 2021-12-27 | Class B Common Stock | $ | G | 1432 | Disposed | Class A Common Stock (1432) | Indirect | |
| 2021-12-27 | Class B Common Stock | $ | G | 2864 | Acquired | Class A Common Stock (2864) | Indirect | |
| 2021-12-31 | Class B Common Stock | $ | G | 79908 | Disposed | Class A Common Stock (79908) | Indirect | |
| 2021-12-31 | Class B Common Stock | $ | G | 79908 | Disposed | Class A Common Stock (79908) | Indirect | |
| 2021-12-31 | Class B Common Stock | $ | G | 23035 | Disposed | Class A Common Stock (23035) | Indirect | |
| 2021-12-31 | Class B Common Stock | $ | G | 23035 | Disposed | Class A Common Stock (23035) | Indirect | |
| 2021-12-31 | Class B Common Stock | $ | G | 16921 | Disposed | Class A Common Stock (16921) | Indirect | |
| 2021-12-31 | Class B Common Stock | $ | G | 16921 | Disposed | Class A Common Stock (16921) | Indirect | |
| 2022-03-18 | Class B Common Stock | $ | G | 17792 | Disposed | Class A Common Stock (17792) | Indirect | |
| 2022-03-18 | Class B Common Stock | $ | G | 17792 | Disposed | Class A Common Stock (17792) | Indirect | |
| 2022-03-18 | Class B Common Stock | $ | G | 8426 | Acquired | Class A Common Stock (8426) | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Class B Common Stock | $ | Class A Common Stock (500000) | 500000 | Indirect |
Footnotes
F1: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock.
F2: On December 7, 2021, shares held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments.
F3: The shares are held by The Siebel 2014 Annuity Trust I u/a/d 10/22/2014, of which the Reporting Person is the trustee.
F4: The shares are held by The Siebel 2014 Annuity Trust II u/a/d 10/22/2014, of which the Reporting Person is the trustee.
F5: The shares are held by The Siebel 2017 Annuity Trust I u/a/d 11/28/2017, of which the Reporting Person is the trustee.
F6: The shares are held by The Siebel 2017 Annuity Trust II u/a/d 11/28/2017, of which the Reporting Person is the trustee.
F7: The shares are held by The Siebel 2020 Annuity Trust III u/a/d 12/3/2020, of which the Reporting Person is the trustee.
F8: The shares are held by The Siebel 2020 Annuity Trust IV u/a/d 12/3/2020, of which the Reporting Person is the trustee.
F9: On December 7, 2021, these shares that were held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments.
F10: The shares are held by The Siebel Living Trust u/a/d 7/27/93, as amended, of which the Reporting Person is trustee.
F11: On December 27, 2021, these shares that were held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments.
F12: The shares are held by The Siebel 2018 Annuity Trust I u/a/d 12/13/2018, of which the Reporting Person is the trustee.
F13: The shares are held by The Siebel 2018 Annuity Trust II u/a/d 12/18/2018, of which the Reporting Person is the trustee.
F14: On December 31, 2021, shares held by related annuity trusts were transferred to the beneficiaries of such annuity trusts.
F15: On March 18, 2022, 4,213 of the shares held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments and 13,579 of the shares held by related annuity trusts were transferred to the beneficiaries of such annuity trusts.
F16: The shares are held by The Siebel 2020 Annuity Trust I u/a/d 3/4/2020, of which the Reporting Person is the trustee.
F17: The shares are held by The Siebel 2020 Annuity Trust II u/a/d 3/4/2020, of which the Reporting Person is the trustee.
F18: On March 18, 2022, these shares that were held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments.
F19: The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is Chairman.