CLEVELAND BRUCE A 4
4 · C3.ai, Inc. · Filed Mar 10, 2021
Insider Transaction Report
Form 4
CLEVELAND BRUCE A
Senior VP and CMO
Transactions
- Gift
Class A Common Stock
2021-03-04−27,333→ 0 total(indirect: See Footnote) - Sale
Class A Common Stock
2021-03-08$91.57/sh−4,480$410,234→ 23,767 total - Sale
Class A Common Stock
2021-03-08$84.48/sh−8,702$735,145→ 77,614 total - Sale
Class A Common Stock
2021-03-08$89.29/sh−12,567$1,122,107→ 32,947 total - Sale
Class A Common Stock
2021-03-08$90.56/sh−4,700$425,632→ 28,247 total - Exercise/Conversion
Option (Right to Buy)
2021-02-25−21,367→ 978,634 totalExercise: $4.68Exp: 2029-11-12→ Class A Common Stock (21,367 underlying) - Sale
Class A Common Stock
2021-03-08$85.53/sh−12,700$1,086,231→ 64,914 total - Sale
Class A Common Stock
2021-03-08$86.57/sh−7,600$657,932→ 57,314 total - Sale
Class A Common Stock
2021-03-08$88.42/sh−6,200$548,204→ 45,514 total - Exercise/Conversion
Option (Right to Buy)
2021-03-08−6,867→ 971,767 totalExercise: $4.68Exp: 2029-11-12→ Class A Common Stock (6,867 underlying) - Exercise/Conversion
Class A Common Stock
2021-02-25$4.68/sh+21,367$99,998→ 52,116 total - Gift
Class A Common Stock
2021-03-04+27,333→ 79,449 total - Sale
Class A Common Stock
2021-03-08$92.39/sh−2,400$221,736→ 21,367 total - Exercise/Conversion
Class A Common Stock
2021-03-08$4.68/sh+6,867$32,138→ 86,316 total - Sale
Class A Common Stock
2021-03-08$87.53/sh−5,600$490,168→ 51,714 total - Other
Class A Common Stock
2021-03-08+241→ 241 total(indirect: See Footnote)
Footnotes (12)
- [F1]The shares are held by the Cleveland Family Trust, of which the Reporting Person is trustee.
- [F2]Represents weighted average sales price. The shares were sold at prices ranging from $84.00 to $84.99. 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 $85.00 to $85.99. 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 $86.00 to $86.99. 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 $87.00 to $87.99. 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]Represents weighted average sales price. The shares were sold at prices ranging from $88.00 to $88.99. 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.
- [F7]Represents weighted average sales price. The shares were sold at prices ranging from $89.00 to $89.99. 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.
- [F8]Represents weighted average sales price. The shares were sold at prices ranging from $90.00 to $90.99. 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.
- [F9]Represents weighted average sales price. The shares were sold at prices ranging from $91.01 to $92.00. 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.
- [F10]Represents weighted average sales price. The shares were sold at prices ranging from $92.04 to $92.98. 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.
- [F11]Pro rata distribution from Interwest Partners X, LP, of which the Reporting Person is a non-managing member.
- [F12]Twenty percent (20%) of the shares subject to the option grant vested on November 4, 2020, and the remaining eighty percent (80%) of each such grant vests on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates.