STEPHEN WARD JR - 01 Jul 2021 Form 4 Insider Report for C3.ai, Inc. (AI)

Role: Director
Signature: /s/ Brady Mickelsen, Attorney-in-Fact
Issuer symbol: AI
Transactions as of: 01 Jul 2021
Net transactions value: -$1,236,618
Form type: 4
Filing time: 06 Jul 2021, 16:01:49 UTC
Previous filing: 30 Jun 2021
Next filing: 05 Oct 2021
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	AI	Class A Common Stock	Gift	$0	-3,000	-0.61%	$0.000000	487,557	22 Jun 2021	Direct
transaction	AI	Class A Common Stock	Options Exercise	$25,565	+12,532	+2.6%	$2.04^*	500,089	01 Jul 2021	Direct	F1
transaction	AI	Class A Common Stock	Sale	$429,056	-6,877	-1.4%	$62.39	493,212	01 Jul 2021	Direct	F1, F2
transaction	AI	Class A Common Stock	Sale	$577,359	-9,121	-1.8%	$63.30	484,091	01 Jul 2021	Direct	F1, F3
transaction	AI	Class A Common Stock	Sale	$255,768	-4,002	-0.83%	$63.91	480,089	01 Jul 2021	Direct	F1, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	AI	Stock Option (Right to Buy)	Options Exercise	$0	-12,532	-13%	$0.000000	83,718	01 Jul 2021	Class A Common Stock	12,532	$2.04	Direct	F1, F5

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Transaction pursuant to a previously established Rule 10b5-1 Plan.
F2	Represents weighted average sales price. The shares were sold at prices ranging from $61.78 to $62.76. 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.
F3	Represents weighted average sales price. The shares were sold at prices ranging from $62.78 to $63.77. 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.
F4	Represents weighted average sales price. The shares were sold at prices ranging from $63.78 to $64.29. 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.
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 8, 2017 (the "Vesting Commencement Date"), then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "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 Quarterly Shares shall not occur and will be suspended (any such suspended Quarterly Shares being referred to collectively as the "Suspended Shares"). For any Suspended Shares, such shares shall vest only following the fifth anniversary of the applicable Vesting Commencement Date, if the Reporting Person satisfies the attendance requirements in subsequent periods.