Thomas M. Siebel - 30 Aug 2024 Form 4 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
30 Aug 2024
Net transactions value
+$612,765
Form type
4
Filing time
04 Sep 2024, 21:44:26 UTC
Previous filing
07 Aug 2024
Next filing
13 Sep 2024
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 $999,999 +537,634 +31% $1.86 2,294,024 30 Aug 2024 Direct
transaction AI Class A Common Stock Options Exercise +32,736 +1.4% 2,326,760 01 Sep 2024 Direct F1
transaction AI Class A Common Stock Tax liability $387,234 -16,591 -0.71% $23.34 2,310,169 01 Sep 2024 Direct
transaction AI Class A Common Stock Gift $0 -16,145 -0.7% $0.000000 2,294,024 03 Sep 2024 Direct
transaction AI Class A Common Stock Gift $0 +16,145 +0.37% $0.000000 4,396,099 03 Sep 2024 See Footnote F2
transaction AI Class A Common Stock Gift $0 -537,634 -23% $0.000000 1,756,390 04 Sep 2024 Direct
transaction AI Class A Common Stock Gift $0 +537,634 +12% $0.000000 4,933,733 04 Sep 2024 See Footnote F2
holding AI Class A Common Stock 9,216 30 Aug 2024 See Footnote F3
holding AI Class A Common Stock 170,924 30 Aug 2024 See Footnote F4
holding AI Class A Common Stock 72,695 30 Aug 2024 See Footnote F5
holding AI Class A Common Stock 1,237,115 30 Aug 2024 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 Stock Option (Right to Buy) Options Exercise $0 -537,634 -40% $0.000000 798,432 30 Aug 2024 Class A Common Stock 537,634 $1.86 Direct F7
transaction AI Restricted Stock Units Options Exercise $0 -32,736 -10% $0.000000 294,626 01 Sep 2024 Class A Common Stock 32,736 Direct F1, F8
* 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 The options vest on an equal quarterly basis over the five (5) year period following November 30, 2016, so long as the Reporting Person continues to provide services through such vesting dates.
F8 1/12th of the RSUs vest on each quarterly anniversary from December 1, 2023, so long as the Reporting Person continues to provide services through such vesting date.