C3.ai, Inc. — Director's Dealing 2024

Jun 29, 2024

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: C3.ai, Inc. (AI)
CIK: 0001577526
Period of Report: 2024-06-19

Reporting Person: Witteveen Merel (N/A)

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	1229	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$4.56	2029-06-12	Class A Common Stock (108)		Direct
Stock Option (Right to Buy)	$4.56	2030-07-31	Class A Common Stock (6247)		Direct
Stock Option (Right to Buy)	$34.25	2031-12-22	Class A Common Stock (36667)		Direct
Resticted Stock Units	$		Class A Common Stock (13500)		Direct
Restricted Stock Units	$		Class A Common Stock (25000)		Direct
Restricted Stock Units	$		Class A Common Stock (130000)		Direct
Restricted Stock Units	$		Class A Common Stock (30000)		Direct
Restricted Stock Units	$		Class A Common Stock (50000)		Direct

Footnotes

F1: 20% of the shares subject to the option grant vested on May 1, 2020, and the remaining 80% of the shares vest on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. The original grant was for 1,667 of which 1,559 shares have been exercised.

F2: 20% of the shares subject to the option grant vested on May 1, 2021, and the remaining 80% of the shares vest on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. The original grant was for 25,001 of which 18,754 shares have been exercised.

F3: 20% of the shares subject to the option grant vested on December 15, 2022, and the remaining 80% of the shares vest on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. The original grant was for 50,000 of which 13,333 shares have been exercised.

F4: 20% of such restricted stock award ("RSU") award vested on June 23, 2022 and 5% of such RSU award vest on a quarterly basis thereafter, so long as the Reporting Person continues to provide services through such vesting date. The original grant was for 30,000 of which 16,500 shares have vested and been released.

F5: Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement.

F6: 6.25% of such RSU award vested on the third month following July 6, 2022 and 6.25% of each RSU award vest on a quarterly basis thereafter, so long as the Reporting Person continues to provide services through such vesting date. The original grant was for 50,000 of which 25,000 shares have vested and been released.

F7: 20% of such RSU award vested August 16, 2023 and 5% of such RSU award vest on a quarterly basis thereafter, so long as the Reporting Person continues to provide services through such vesting date. The original grant was for 200,000 of which 70,000 shares have vested and been released.

F8: 6.25% of such RSU award vest in a series of equal quarterly installments on the last day of each fiscal quarter following May 1, 2025, so long as the Reporting Person continues to provide services through such vesting date.

F9: 20% of such RSU award vest on June 15, 2025 and 5% of such RSU award vest on a quarterly basis thereafter, so long as the Reporting Person continues to provide services through such vesting date.