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C3.ai, Inc. — Director's Dealing 2024
Sep 5, 2024
31545_dirs_2024-09-04_7ac81af2-17e4-4133-ba44-6a9d3741f51a.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: 2024-08-30
Reporting Person: SIEBEL THOMAS M (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-08-30 | Class A Common Stock | M | 537634 | $1.86 | Acquired | 2294024 | Direct |
| 2024-09-01 | Class A Common Stock | M | 32736 | — | Acquired | 2326760 | Direct |
| 2024-09-01 | Class A Common Stock | F | 16591 | $23.34 | Disposed | 2310169 | Direct |
| 2024-09-03 | Class A Common Stock | G | 16145 | — | Disposed | 2294024 | Direct |
| 2024-09-03 | Class A Common Stock | G | 16145 | — | Acquired | 4396099 | Indirect |
| 2024-09-04 | Class A Common Stock | G | 537634 | — | Disposed | 1756390 | Direct |
| 2024-09-04 | Class A Common Stock | G | 537634 | — | Acquired | 4933733 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-08-30 | Stock Option (Right to Buy) | $1.86 | M | 537634 | Disposed | 2026-11-29 | Class A Common Stock (537634) | Direct |
| 2024-09-01 | Restricted Stock Units | $ | M | 32736 | Disposed | Class A Common Stock (32736) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 9216 | Indirect |
| Class A Common Stock | 170924 | Indirect |
| Class A Common Stock | 72695 | Indirect |
| Class A Common Stock | 1237115 | Indirect |
Footnotes
F1: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement.
F2: The shares are held by The Siebel Living Trust u/a/d 7/27/93, as amended, of which the Reporting Person is trustee.
F3: The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is Chairman.
F4: The shares are held by Siebel Asset Management, L.P., of which the Reporting Person is the general partner.
F5: The shares are held by Siebel Asset Management III, L.P., of which the Reporting Person is the general partner.
F6: The shares are held by The Siebel 2011 Irrevocable Children's Trust, of which the Reporting Person is co-trustee.
F7: 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.
F8: 1/12th of the RSUs vest on each quarterly anniversary from December 1, 2023, so long as the Reporting Person continues to provide services through such vesting date.