Edward Y. Abbo - Nov 18, 2021 Form 4 Insider Report for C3.ai, Inc. (AI)

Role
Chief Technology Officer
Signature
/s/ Richard J. Lutton, Jr., Attorney-in-Fact
Stock symbol
AI
Transactions as of
Nov 18, 2021
Transactions value $
-$971,895
Form type
4
Date filed
11/22/2021, 04:44 PM
Previous filing
Oct 25, 2021
Next filing
Dec 28, 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 $33.2K +21.3K +34.7% $1.56* 82.6K Nov 18, 2021 Direct F1
transaction AI Class A Common Stock Sale -$495K -11.6K -14.09% $42.57 70.9K Nov 18, 2021 Direct F1, F2
transaction AI Class A Common Stock Sale -$167K -3.86K -5.44% $43.26 67.1K Nov 18, 2021 Direct F1, F3
transaction AI Class A Common Stock Sale -$256K -5.73K -8.55% $44.61 61.3K Nov 18, 2021 Direct F1, F4
transaction AI Class A Common Stock Sale -$87.3K -1.92K -3.13% $45.56 59.4K Nov 18, 2021 Direct F1, F5
holding AI Class A Common Stock 99.1K Nov 18, 2021 See Footnote F6
holding AI Class A Common Stock 449K Nov 18, 2021 See Footnote F7

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 -21.3K -10.61% $0.00 179K Nov 18, 2021 Class A Common Stock 21.3K $1.56 Direct F1, F8
* 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 $42.05 to $43.03. 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 $43.05 to $43.97. 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 $44.06 to $45.02. 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 $45.07 to $46.00. 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 The shares are held by the Edward Y. Abbo and Alison C. Abbo 2001 Family Trust, of which the Reporting Person is trustee.
F7 The shares are held by the Abbo 2012 Children's Trust, of which the Reporting Person is trustee.
F8 Fully vested.

Remarks:

Exhibit List Exhibit 24 - Power of Attorney