Form 4 for AI C3.ai, Inc.
Accepted 2021-07-06 00:00:00 ET · period of report 2021-07-01 · accession 0001209191-21-045395 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-07-06 | 2021-07-01 | AI | WARD JR STEPHEN M | Dir | S - Sale+OE | $63.11 | -20.0K | 493.2K | -4% | -$1.26M |
| D | 2021-07-06 | 2021-07-01 | AI | WARD JR STEPHEN M | Dir | M - OptEx | $2.04 | +12.5K | 500.1K | +3% | +$25.6K |
| D | 2021-07-06 | 2021-06-22 | AI | WARD JR STEPHEN M | Dir | G - Gift | $0.00 | -3,000 | 487.6K | -0.6% | $0 |
| D | 2021-07-06 | 2021-07-01 | AI | WARD JR STEPHEN M | Dir | M - OptEx | $0.00 | -12.5K | 83.7K | -13% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-07-01 | S | D | 4,002 | $63.91 | 480,089 | D | — | — | (F4) Represents weighted average sales price. The shares were sold at prices ranging from $63.78 to $64.29. 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. |
| 2 | Common | Class A Common Stock | 2021-07-01 | S | D | 9,121 | $63.30 | 484,091 | D | — | — | (F3) Represents weighted average sales price. The shares were sold at prices ranging from $62.78 to $63.77. 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. |
| 3 | Common | Class A Common Stock | 2021-07-01 | S | D | 6,877 | $62.39 | 493,212 | D | — | — | (F2) Represents weighted average sales price. The shares were sold at prices ranging from $61.78 to $62.76. 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. |
| 4 | Common | Class A Common Stock | 2021-07-01 | M | A | 12,532 | $2.04 | 500,089 | D | — | — | |
| 5 | Common | Class A Common Stock | 2021-06-22 | G | D | 3,000 | $0.00 | 487,557 | D | — | — | |
| 6 | Derivative | Stock Option (Right to Buy) | 2021-07-01 | M | D | 12,532 | $0.00 | 83,718 | D | $2.04 · — to 2027-11-07 | 12,532 Class A Common Stock | (F5) 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 November 8, 2017 (the "Vesting Commencement Date"), 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. |