Thomas M. Siebel - Jan 14, 2025 Form 4 Insider Report for C3.ai, Inc. (AI)

Role
CHIEF EXECUTIVE OFFICER, Director, 10%+ Owner
Signature
/s/ Eric Jensen, Attorney-in-Fact
Stock symbol
AI
Transactions as of
Jan 14, 2025
Transactions value $
-$19,645,201
Form type
4
Date filed
1/16/2025, 07:23 PM
Previous filing
Dec 3, 2024
Next filing
Feb 4, 2025
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 $762K +410K +23.33% $1.86 2.17M Jan 14, 2025 Direct F1
transaction AI Class A Common Stock Sale -$9.85M -320K -14.76% $30.82 1.85M Jan 14, 2025 Direct F1, F2
transaction AI Class A Common Stock Sale -$2.84M -90.2K -4.88% $31.48 1.76M Jan 14, 2025 Direct F1, F3
transaction AI Class A Common Stock Options Exercise $475K +256K +14.55% $1.86 2.01M Jan 15, 2025 Direct F1
transaction AI Class A Common Stock Sale -$7.1M -222K -11.04% $31.96 1.79M Jan 15, 2025 Direct F1, F4
transaction AI Class A Common Stock Sale -$1.09M -33.4K -1.87% $32.66 1.76M Jan 15, 2025 Direct F1, F5
holding AI Class A Common Stock 4.98M Jan 14, 2025 See Footnote F6
holding AI Class A Common Stock 9.22K Jan 14, 2025 See Footnote F7
holding AI Class A Common Stock 171K Jan 14, 2025 See Footnote F8
holding AI Class A Common Stock 72.7K Jan 14, 2025 See Footnote F9
holding AI Class A Common Stock 1.24M Jan 14, 2025 See Footnote F10

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 -410K -51.33% $0.00 389K Jan 14, 2025 Class A Common Stock 410K $1.86 Direct F1, F11
transaction AI Stock Option (Right to Buy) Options Exercise $0 -256K -65.77% $0.00 133K Jan 15, 2025 Class A Common Stock 256K $1.86 Direct F1, F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 20, 2024.
F2 Represents weighted average sales price. The shares were sold at prices ranging from $30.24 to $31.23. 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 $31.24 to $32.17. 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 $31.535 to $32.53. 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 $32.535 to $33.00. 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 Siebel Living Trust u/a/d 7/27/93, as amended, of which the Reporting Person is trustee.
F7 The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is Chairman.
F8 The shares are held by Siebel Asset Management, L.P., of which the Reporting Person is the general partner.
F9 The shares are held by Siebel Asset Management III, L.P., of which the Reporting Person is the general partner.
F10 The shares are held by The Siebel 2011 Irrevocable Children's Trust, of which the Reporting Person is co-trustee.
F11 Fully vested.