Form 4 for AI C3.ai, Inc.
Accepted 2021-12-28 00:00:00 ET · period of report 2021-12-23 · accession 0001209191-21-071408 · 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 | 2021-12-28 | 2021-12-23 | AI | ABBO EDWARD Y | CTO | M - OptEx | $4.16 | +57.1K | 168.8K | +51% | +$237.3K |
| DI | 2021-12-28 | 2021-08-16 | AI | ABBO EDWARD Y | CTO | G - Gift | $0.00 | -99.1K | 0 | -100% | $0 |
| DM | 2021-12-28 | 2021-03-08+ | AI | ABBO EDWARD Y | CTO | G - Gift | $0.00 | +96.1K | 56.4K | New | $0 |
| D | 2021-12-28 | 2021-12-23 | AI | ABBO EDWARD Y | CTO | A - Grant | $0.00 | +300.0K | 300.0K | New | $0 |
| DM | 2021-12-28 | 2021-12-23 | AI | ABBO EDWARD Y | CTO | M - OptEx | $0.00 | -57.1K | 47.9K | -54% | $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 | 2021-12-23 | M | A | 21,929 | $4.56 | 212,648 | D | — | — | |
| 2 | Common | Class A Common Stock | 2021-08-16 | G | D | 99,137 | $0.00 | 0 | I | — | — | |
| 3 | Common | Class A Common Stock | 2021-12-23 | M | A | 21,929 | $4.56 | 190,719 | D | — | — | |
| 4 | Common | Class A Common Stock | 2021-12-23 | M | A | 13,238 | $2.82 | 168,790 | D | — | — | |
| 5 | Common | Class A Common Stock | 2021-08-16 | G | A | 99,137 | $0.00 | 155,552 | D | — | — | |
| 6 | Common | Class A Common Stock | 2021-03-08 | G | D | 3,000 | $0.00 | 56,415 | D See Footnote | — | — | (F1) The shares are held by the Edward Y. Abbo and Alison C. Abbo 2001 Family Trust, of which the Reporting Person is trustee. |
| 7 | Derivative | Stock Option (Right to Buy) | 2021-12-23 | A | A | 300,000 | $0.00 | 300,000 | D | $34.25 · — to 2031-12-22 | 300,000 Class A Common Stock | (F5) Twenty percent (20%) of the shares subject to the option grant shall vest on December 15, 2022, 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. |
| 8 | Derivative | Stock Option (Right to Buy) | 2021-12-23 | M | D | 21,929 | $0.00 | 144,738 | D | $4.56 · — to 2030-07-05 | 21,929 Class A Common Stock | (F9) 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. (F10) Twenty percent (20%) of the shares subject to the option grant vest on May 1, 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. |
| 9 | Derivative | Stock Option (Right to Buy) | 2021-12-23 | M | D | 21,929 | $0.00 | 144,738 | D | $4.56 · — to 2029-06-12 | 21,929 Class A Common Stock | (F9) 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. (F8) Twenty percent (20%) of the shares subject to the option grant vested on May 1, 2020, 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. |
| 10 | Derivative | Stock Option (Right to Buy) | 2021-12-23 | M | D | 13,238 | $0.00 | 47,874 | D | $2.82 · — to 2028-05-22 | 13,238 Class A Common Stock | (F7) 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. (F6) Twenty percent (20%) of the shares subject to the option grant vested on May 23, 2019, 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. |