HOUSE PATRICIA A 4

Accession 0001209191-21-070971

CIK 0001577526other

View on SEC.gov Company Profile

Filed

Dec 21, 7:00 PM ET

Accepted

Dec 22, 5:39 PM ET

Size

29.4 KB

Accession

0001209191-21-070971

Insider Transaction Report

Form 4

Period: 2021-12-20

C3.ai, Inc.AI

HOUSE PATRICIA A

Director

Transactions

Exercise/Conversion
Stock Option (Right to Buy)
2021-12-20−3,518→ 35,166 total
Exercise: $3.90Exp: 2028-11-27→ Class A Common Stock (3,518 underlying)
Exercise/Conversion
Stock Option (Right to Buy)
2021-12-20−37,836→ 113,498 total
Exercise: $11.16Exp: 2030-08-26→ Class A Common Stock (37,836 underlying)
Exercise/Conversion
Class A Common Stock
2021-12-20$1.68/sh+1,667$2,801→ 45,397 total
Exercise/Conversion
Class A Common Stock
2021-12-20$2.04/sh+3,210$6,548→ 54,857 total
Exercise/Conversion
Class A Common Stock
2021-12-20$1.86/sh+6,250$11,625→ 51,647 total
Exercise/Conversion
Class A Common Stock
2021-12-20$3.90/sh+3,518$13,720→ 58,375 total
Exercise/Conversion
Stock Option (Right to Buy)
2021-12-20−6,250→ 0 total
Exercise: $1.86Exp: 2026-11-29→ Class A Common Stock (6,250 underlying)
Exercise/Conversion
Class A Common Stock
2021-12-20$11.16/sh+37,836$422,250→ 96,211 total
Exercise/Conversion
Stock Option (Right to Buy)
2021-12-20−3,210→ 19,249 total
Exercise: $2.04Exp: 2027-11-07→ Class A Common Stock (3,210 underlying)
Exercise/Conversion
Stock Option (Right to Buy)
2021-12-20−1,667→ 0 total
Exercise: $1.68Exp: 2026-07-18→ Class A Common Stock (1,667 underlying)

Holdings

Class A Common Stock
(indirect: See Footnote)
217,755

Footnotes (6)

[F1]The shares are held by the Patricia A. House 2020 2 Year GRAT created UTA dated September 22, 2020, of which the Reporting Person is trustee.
[F2]Fully vested.
[F3]Provided the Reporting Person remains a director of C3.ai, Inc. (the "Company") and attends in person the regularly scheduled meeting of the Board during each fiscal quarter, commencing on November 8, 2017, then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "First Option Quarterly Shares") during the term of the option, provided, however, if the Reporting Person fails to attend any such regularly scheduled meeting, then vesting for the First Option Quarterly Shares shall not occur and will be suspended (any such suspended First Option Quarterly Shares being referred to collectively as the "First Option Suspended Shares"). For any First Option Suspended Shares, such shares shall vest only following the fifth anniversary of November 8, 2017, if the Reporting Person satisfies the attendance requirements in subsequent periods.
[F4]Due to rounding in connection with the reverse stock split, the total shares include 1 additional share that was not originally reported on the Reporting Person's Form 3.
[F5]Provided the Reporting Person remains a director of the Company and attends in person the regularly scheduled meeting of the Board during each fiscal quarter, commencing on November 28, 2018, then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "Second Option Quarterly Shares") during the term of the option, provided, however, if the Reporting Person fails to attend any such regularly scheduled meeting, then vesting for the Second Option Quarterly Shares shall not occur and will be suspended (any such suspended Second Option Quarterly Shares being referred to collectively as the "Second Option Suspended Shares"). For any Second Option Suspended Shares, such shares shall vest only following the fifth anniversary of November 28, 2018, if the Reporting Person satisfies the attendance requirements in subsequent periods.
[F6]Provided the Reporting Person remains a director of the Company and attends in person the regularly scheduled meeting of the Board during each fiscal quarter, commencing on August 28, 2020, then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "Third Option Quarterly Shares") during the term of the option, provided, however, if the Reporting Person fails to attend any such regularly scheduled meeting, then vesting for the Third Option Quarterly Shares shall not occur and will be suspended (any such suspended Third Option Quarterly Shares being referred to collectively as the "Third Option Suspended Shares"). For any Third Option Suspended Shares, such shares shall vest only following the fifth anniversary of August 28, 2020, if the Reporting Person satisfies the attendance requirements in subsequent periods.

Documents

2 files

Issuer

C3.ai, Inc.

CIK 0001577526

→

Entity typeother

Related Parties

filerCIK 0001241633

Filing Metadata

Form type: 4
Filed: Dec 21, 7:00 PM ET
Accepted: Dec 22, 5:39 PM ET
Size: 29.4 KB

View on SEC.gov