Form 4 for AI C3.ai, Inc.

Accepted 2021-10-14 00:00:00 ET · period of report 2021-10-12 · accession 0001209191-21-060492 · 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
D	2021-10-14	2021-10-12	AI	Barter David	CFO, Senior VP	M - OptEx	$17.10	+233.3K	233.3K	New	+$3.99M
D	2021-10-14	2021-10-12	AI	Barter David	CFO, Senior VP	S - Sale+OE	$45.04	-170.3K	63.0K	-73%	-$7.67M
D	2021-10-14	2021-10-12	AI	Barter David	CFO, Senior VP	M - OptEx	$0.00	-233.3K	933.3K	-20%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Class A Common Stock	2021-10-12	M	A	233,332	$17.10	233,332	D	—	—
2	Common	Class A Common Stock	2021-10-12	S	D	170,333	$45.04	62,999	D	—	—	(F2) Represents weighted average sales price. The shares were sold at prices ranging from $45.00 to $45.42. 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.
3	Derivative	Stock Option (Right to Buy)	2021-10-12	M	D	233,332	$0.00	933,335	D	$17.10 · — to 2030-10-20	233,332 Class A Common Stock	(F4) 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. (F3) Twenty percent (20%) of the shares subject to the option grant vested on October 8, 2021, 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.