Form 4 for AI C3.ai, Inc.
Accepted 2021-12-22 00:00:00 ET · period of report 2021-12-20 · accession 0001209191-21-070971 · 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 | 2021-12-22 | 2021-12-20 | AI | HOUSE PATRICIA A | Dir | M - OptEx | $8.71 | +52.5K | 96.2K | +120% | +$456.9K |
| DM | 2021-12-22 | 2021-12-20 | AI | HOUSE PATRICIA A | Dir | M - OptEx | $0.00 | -52.5K | 0 | -100% | $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 | 2021-12-20 | M | A | 6,250 | $1.86 | 51,647 | D | — | — | |
| 2 | Common | Class A Common Stock | 2021-12-20 | M | A | 1,667 | $1.68 | 45,397 | D | — | — | |
| 3 | Common | Class A Common Stock | 2021-12-20 | M | A | 3,210 | $2.04 | 54,857 | D | — | — | |
| 4 | Common | Class A Common Stock | 2021-12-20 | M | A | 3,518 | $3.90 | 58,375 | D | — | — | |
| 5 | Common | Class A Common Stock | 2021-12-20 | M | A | 37,836 | $11.16 | 96,211 | D | — | — | |
| 6 | Derivative | Stock Option (Right to Buy) | 2021-12-20 | M | D | 37,836 | $0.00 | 113,498 | D | $11.16 · — to 2030-08-26 | 37,836 Class A Common Stock | (F4) Due to rounding in connection with the reverse stock split, the total shares include 1 additional share that was not originally reported on the Reporting Person's Form 3. (F6) 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 August 28, 2020, then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "Third Option 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 Third Option Quarterly Shares shall not occur and will be suspended (any such suspended Third Option Quarterly Shares being referred to collectively as the "Third Option Suspended Shares"). For any Third Option Suspended Shares, such shares shall vest only following the fifth anniversary of August 28, 2020, if the Reporting Person satisfies the attendance requirements in subsequent periods. |
| 7 | Derivative | Stock Option (Right to Buy) | 2021-12-20 | M | D | 3,518 | $0.00 | 35,166 | D | $3.90 · — to 2028-11-27 | 3,518 Class A Common Stock | (F4) Due to rounding in connection with the reverse stock split, the total shares include 1 additional share that was not originally reported on the Reporting Person's Form 3. (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 28, 2018, then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "Second Option 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 Second Option Quarterly Shares shall not occur and will be suspended (any such suspended Second Option Quarterly Shares being referred to collectively as the "Second Option Suspended Shares"). For any Second Option Suspended Shares, such shares shall vest only following the fifth anniversary of November 28, 2018, if the Reporting Person satisfies the attendance requirements in subsequent periods. |
| 8 | Derivative | Stock Option (Right to Buy) | 2021-12-20 | M | D | 6,250 | $0.00 | 0 | D | $1.86 · — to 2026-11-29 | 6,250 Class A Common Stock | (F2) Fully vested. |
| 9 | Derivative | Stock Option (Right to Buy) | 2021-12-20 | M | D | 3,210 | $0.00 | 19,249 | D | $2.04 · — to 2027-11-07 | 3,210 Class A Common Stock | (F4) Due to rounding in connection with the reverse stock split, the total shares include 1 additional share that was not originally reported on the Reporting Person's Form 3. (F3) Provided the Reporting Person remains a director of C3.ai, Inc. (the "Company") and attends in person the regularly scheduled meeting of the Board during each fiscal quarter, commencing on November 8, 2017, then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "First Option 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 First Option Quarterly Shares shall not occur and will be suspended (any such suspended First Option Quarterly Shares being referred to collectively as the "First Option Suspended Shares"). For any First Option Suspended Shares, such shares shall vest only following the fifth anniversary of November 8, 2017, if the Reporting Person satisfies the attendance requirements in subsequent periods. |
| 10 | Derivative | Stock Option (Right to Buy) | 2021-12-20 | M | D | 1,667 | $0.00 | 0 | D | $1.68 · — to 2026-07-18 | 1,667 Class A Common Stock | (F2) Fully vested. |