Houman Behzadi - 15 Nov 2021 Form 4 Insider Report for C3.ai, Inc. (AI)

Role: Chief Product Officer
Signature: /s/ Brady Mickelsen, Attorney-in-Fact
Issuer symbol: AI
Transactions as of: 15 Nov 2021
Net transactions value: -$750,743
Form type: 4
Filing time: 17 Nov 2021, 17:04:33 UTC
Previous filing: 13 Oct 2021
Next filing: 28 Dec 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	Options Exercise	$26,690	+15,887	+4.8%	$1.68^*	347,495	15 Nov 2021	Direct	F1
transaction	AI	Class A Common Stock	Sale	$539,529	-11,145	-3.2%	$48.41	336,350	15 Nov 2021	Direct	F1, F2
transaction	AI	Class A Common Stock	Sale	$69,034	-1,400	-0.42%	$49.31	334,950	15 Nov 2021	Direct	F1, F3
transaction	AI	Class A Common Stock	Sale	$143,086	-2,839	-0.85%	$50.40	332,111	15 Nov 2021	Direct	F1, F4
transaction	AI	Class A Common Stock	Sale	$25,784	-503	-0.15%	$51.26	331,608	15 Nov 2021	Direct	F1, F5

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	-15,887	-16%	$0.000000	85,673	15 Nov 2021	Class A Common Stock	15,887	$1.68	Direct	F1, F6

* 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 $47.93 to $48.91. 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 $48.93 to $49.61. 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 $50.03 to $50.94. 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	Represents weighted average sales price. The shares were sold at prices ranging from $51.04 to $51.57. 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.
F6	Twenty percent (20%) of the shares subject to the option grant vested on May 16, 2017, 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.