Form 4 for AI C3.ai, Inc.
Accepted 2021-09-03 00:00:00 ET · period of report 2021-09-01 · accession 0001209191-21-054849 · 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 | 2021-09-03 | 2021-09-01 | AI | Behzadi Houman | Chief Product Off | S - Sale+OE | $53.56 | -15.9K | 331.6K | -5% | -$851.0K |
| D | 2021-09-03 | 2021-09-01 | AI | Behzadi Houman | Chief Product Off | M - OptEx | $1.68 | +15.9K | 347.5K | +5% | +$26.7K |
| D | 2021-09-03 | 2021-09-01 | AI | Behzadi Houman | Chief Product Off | M - OptEx | $0.00 | -15.9K | 117.4K | -12% | $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 | 2021-09-01 | S | D | 5,000 | $53.96 | 334,008 | D | — | — | (F3) Represents weighted average sales price. The shares were sold at prices ranging from $53.44 to $54.42. 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 | 2021-09-01 | S | D | 8,487 | $52.99 | 339,008 | D | — | — | (F2) Represents weighted average sales price. The shares were sold at prices ranging from $52.44 to $53.40. 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 | 2021-09-01 | M | A | 15,887 | $1.68 | 347,495 | D | — | — | |
| 4 | Common | Class A Common Stock | 2021-09-01 | S | D | 2,400 | $54.77 | 331,608 | D | — | — | (F4) Represents weighted average sales price. The shares were sold at prices ranging from $54.48 to $55.42. 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. |
| 5 | Derivative | Stock Option (Right to Buy) | 2021-09-01 | M | D | 15,887 | $0.00 | 117,447 | D | $1.68 · — to 2026-07-12 | 15,887 Class A Common Stock | (F6) Due to rounding in connection with the reverse stock split, the total shares include 2 additional shares that were not originally reported on the Reporting Person's Form 3. (F5) Twenty percent (20%) of the shares subject to the option grant vested on May 16, 2017, and the remaining eighty percent (80%) of each such grant vests on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. |