Thomas M. Siebel - Dec 7, 2021 Form 4 Insider Report for C3.ai, Inc. (AI)

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Richard J. Lutton, Jr., Attorney-in-Fact
Stock symbol
AI
Transactions as of
Dec 7, 2021
Transactions value $
$0
Form type
4
Date filed
4/29/2022, 04:14 PM
Previous filing
Nov 17, 2021
Next filing
Jul 5, 2022
SEC
View on sec.gov

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 Class B Common Stock Gift $0 -2.2K -2.68% $0.00 79.9K Dec 7, 2021 Class A Common Stock 2.2K See Footnote F1, F2, F3
transaction AI Class B Common Stock Gift $0 -2.2K -2.68% $0.00 79.9K Dec 7, 2021 Class A Common Stock 2.2K See Footnote F1, F2, F4
transaction AI Class B Common Stock Gift $0 -723 -3.04% $0.00 23K Dec 7, 2021 Class A Common Stock 723 See Footnote F1, F2, F5
transaction AI Class B Common Stock Gift $0 -723 -3.04% $0.00 23K Dec 7, 2021 Class A Common Stock 723 See Footnote F1, F2, F6
transaction AI Class B Common Stock Gift $0 -3.64K -35.47% $0.00 6.61K Dec 7, 2021 Class A Common Stock 3.64K See Footnote F1, F2, F7
transaction AI Class B Common Stock Gift $0 -3.64K -35.47% $0.00 6.61K Dec 7, 2021 Class A Common Stock 3.64K See Footnote F1, F2, F8
transaction AI Class B Common Stock Gift $0 +13.1K +0.64% $0.00 2.05M Dec 7, 2021 Class A Common Stock 13.1K See Footnote F1, F9, F10
transaction AI Class B Common Stock Gift $0 -1.43K -7.8% $0.00 16.9K Dec 27, 2021 Class A Common Stock 1.43K See Footnote F1, F11, F12
transaction AI Class B Common Stock Gift $0 -1.43K -7.8% $0.00 16.9K Dec 27, 2021 Class A Common Stock 1.43K See Footnote F1, F11, F13
transaction AI Class B Common Stock Gift $0 +2.86K +0.14% $0.00 2.05M Dec 27, 2021 Class A Common Stock 2.86K See Footnote F1, F10, F11
transaction AI Class B Common Stock Gift $0 -79.9K -100% $0.00* 0 Dec 31, 2021 Class A Common Stock 79.9K See Footnote F1, F3, F14
transaction AI Class B Common Stock Gift $0 -79.9K -100% $0.00* 0 Dec 31, 2021 Class A Common Stock 79.9K See Footnote F1, F4, F14
transaction AI Class B Common Stock Gift $0 -23K -100% $0.00* 0 Dec 31, 2021 Class A Common Stock 23K See Footnote F1, F5, F14
transaction AI Class B Common Stock Gift $0 -23K -100% $0.00* 0 Dec 31, 2021 Class A Common Stock 23K See Footnote F1, F6, F14
transaction AI Class B Common Stock Gift $0 -16.9K -100% $0.00* 0 Dec 31, 2021 Class A Common Stock 16.9K See Footnote F1, F12, F14
transaction AI Class B Common Stock Gift $0 -16.9K -100% $0.00* 0 Dec 31, 2021 Class A Common Stock 16.9K See Footnote F1, F13, F14
transaction AI Class B Common Stock Gift $0 -17.8K -100% $0.00* 0 Mar 18, 2022 Class A Common Stock 17.8K See Footnote F1, F15, F16
transaction AI Class B Common Stock Gift $0 -17.8K -100% $0.00* 0 Mar 18, 2022 Class A Common Stock 17.8K See Footnote F1, F15, F17
transaction AI Class B Common Stock Gift $0 +8.43K +0.41% $0.00 2.06M Mar 18, 2022 Class A Common Stock 8.43K See Footnote F1, F10, F18
holding AI Class B Common Stock 500K Dec 7, 2021 Class A Common Stock 500K See Footnote F1, F19
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock.
F2 On December 7, 2021, shares held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments.
F3 The shares are held by The Siebel 2014 Annuity Trust I u/a/d 10/22/2014, of which the Reporting Person is the trustee.
F4 The shares are held by The Siebel 2014 Annuity Trust II u/a/d 10/22/2014, of which the Reporting Person is the trustee.
F5 The shares are held by The Siebel 2017 Annuity Trust I u/a/d 11/28/2017, of which the Reporting Person is the trustee.
F6 The shares are held by The Siebel 2017 Annuity Trust II u/a/d 11/28/2017, of which the Reporting Person is the trustee.
F7 The shares are held by The Siebel 2020 Annuity Trust III u/a/d 12/3/2020, of which the Reporting Person is the trustee.
F8 The shares are held by The Siebel 2020 Annuity Trust IV u/a/d 12/3/2020, of which the Reporting Person is the trustee.
F9 On December 7, 2021, these shares that were held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments.
F10 The shares are held by The Siebel Living Trust u/a/d 7/27/93, as amended, of which the Reporting Person is trustee.
F11 On December 27, 2021, these shares that were held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments.
F12 The shares are held by The Siebel 2018 Annuity Trust I u/a/d 12/13/2018, of which the Reporting Person is the trustee.
F13 The shares are held by The Siebel 2018 Annuity Trust II u/a/d 12/18/2018, of which the Reporting Person is the trustee.
F14 On December 31, 2021, shares held by related annuity trusts were transferred to the beneficiaries of such annuity trusts.
F15 On March 18, 2022, 4,213 of the shares held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments and 13,579 of the shares held by related annuity trusts were transferred to the beneficiaries of such annuity trusts.
F16 The shares are held by The Siebel 2020 Annuity Trust I u/a/d 3/4/2020, of which the Reporting Person is the trustee.
F17 The shares are held by The Siebel 2020 Annuity Trust II u/a/d 3/4/2020, of which the Reporting Person is the trustee.
F18 On March 18, 2022, these shares that were held by related annuity trusts were transferred to The Siebel Living Trust u/a/d 7/27/1993 to satisfy annuity payments.
F19 The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is Chairman.