Form 4 for AI C3.ai, Inc.
Accepted 2022-11-03 00:00:00 ET · period of report 2022-11-01 · accession 0001209191-22-055654 · 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 | 2022-11-03 | 2022-11-01 | AI | SIEBEL THOMAS M | CEO, Dir, 10% | M - OptEx | — | +53.1K | 1.81M | +3% | — |
| DI | 2022-11-03 | 2022-11-02 | AI | SIEBEL THOMAS M | CEO, Dir, 10% | G - Gift | $0.00 | +26.8K | 3.55M | +0.8% | $0 |
| D | 2022-11-03 | 2022-11-02 | AI | SIEBEL THOMAS M | CEO, Dir, 10% | G - Gift | $0.00 | -26.8K | 1.76M | -2% | $0 |
| D | 2022-11-03 | 2022-11-01 | AI | SIEBEL THOMAS M | CEO, Dir, 10% | F - Tax | $12.92 | -26.3K | 1.78M | -1% | -$340.3K |
| D | 2022-11-03 | 2022-11-01 | AI | SIEBEL THOMAS M | CEO, Dir, 10% | M - OptEx | $0.00 | -53.1K | 743.8K | -7% | $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 | 2022-11-01 | M | A | 53,125 | — | 1,809,515 | D See Footnote | — | — | (F1) Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. (F2) The shares are held by The Siebel Living Trust u/a/d 7/27/93, as amended, of which the Reporting Person is trustee. |
| 2 | Common | Class A Common Stock | 2022-11-02 | G | A | 26,785 | $0.00 | 3,550,394 | I | — | — | |
| 3 | Common | Class A Common Stock | 2022-11-02 | G | D | 26,785 | $0.00 | 1,756,390 | D | — | — | |
| 4 | Common | Class A Common Stock | 2022-11-01 | F | D | 26,340 | $12.92 | 1,783,175 | D | — | — | |
| 5 | Derivative | Restricted Stock Units | 2022-11-01 | M | D | 53,125 | $0.00 | 743,750 | D | — · — to — | 53,125 Class A Common Stock | (F1) Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. (F7) 6.25% of each such RSU award vested on August 1, 2022 and 6.25% of each such RSU award shall vest on a quarterly basis thereafter, so long as the Reporting Person continues to provide services through such vesting date. |