THOMAS M. SIEBEL - 01 Aug 2022 Form 4/A - Amendment Insider Report for C3.ai, Inc. (AI)

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Eric Jensen, Attorney-in-Fact
Issuer symbol
AI
Transactions as of
01 Aug 2022
Transactions value $
-$492,821
Form type
4/A - Amendment
Filing time
11 Oct 2022, 20:07:24 UTC
Date Of Original Report
03 Aug 2022
Previous filing
05 Jul 2022
Next filing
03 Nov 2022
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 +53.1K +3.02% 1.81M 01 Aug 2022 Direct F1
transaction AI Class A Common Stock Tax liability -$493K -26.3K -1.46% $18.71 1.78M 01 Aug 2022 Direct
transaction AI Class A Common Stock Gift $0 -26.8K -1.5% $0.00 1.76M 03 Aug 2022 Direct
transaction AI Class A Common Stock Gift $0 +26.8K +0.77% $0.00 3.52M 03 Aug 2022 See Footnote F2
holding AI Class A Common Stock 9.22K 01 Aug 2022 See Footnote F3
holding AI Class A Common Stock 170K 01 Aug 2022 See Footnote F4
holding AI Class A Common Stock 72.7K 01 Aug 2022 See Footnote F5
holding AI Class A Common Stock 1.24M 01 Aug 2022 See Footnote F6

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 Restricted Stock Units Options Exercise $0 -53.1K -6.25% $0.00 797K 01 Aug 2022 Class A Common Stock 53.1K Direct F1, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.
F3 The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is Chairman.
F4 The shares are held by Siebel Asset Management, L.P., of which the Reporting Person is the general partner.
F5 The shares are held by Siebel Asset Management III, L.P., of which the Reporting Person is the general partner.
F6 The shares are held by The Siebel 2011 Irrevocable Children's Trust, of which the Reporting Person is co-trustee.
F7 6.25% of each such RSU award shall vest 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.

Remarks:

This amendment is being filed to correctly reflect the vesting of Restricted Stock Units reported on Table II.