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C3.ai, Inc. — Director's Dealing 2024
Dec 12, 2024
31545_dirs_2024-12-11_c47f8edd-c66f-4bb9-b21e-6384ae90bec5.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: 2024-12-09
Reporting Person: LEVIN RICHARD C (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-12-09 | Class A Common Stock | M | 72000 | $4.68 | Acquired | 233664 | Direct |
| 2024-12-09 | Class A Common Stock | S | 72000 | $42 | Disposed | 161664 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-12-09 | Stock Option (Right to Buy) | $4.68 | M | 72000 | Disposed | 2029-10-18 | Class A Common Stock (72000) | Direct |
Footnotes
F1: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 28, 2023.
F2: Represents weighted average sales price. The shares were sold at prices ranging from $42.00 to $42.05. 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: Provided the Reporting Person remains a director of the Company and attends in person the regularly scheduled meeting of the Board during each fiscal quarter, commencing on October 17, 2019, then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "Quarterly Shares") during the term of the option, provided, however, if the Reporting Person fails to attend any such regularly scheduled meeting, then vesting for the Quarterly Shares shall not occur and will be suspended (any such suspended Quarterly Shares being referred to collectively as the "Suspended Shares"). For any Suspended Shares, such shares shall vest only following the fifth anniversary of the applicable Vesting Commencement Date, if the Reporting Person satisfies the attendance requirements in subsequent periods.
F4: Due to rounding in connection with the reverse stock split, the total shares include an additional share that was not originally reported on the Reporting Person's Form 3.