Filing Details
- Accession Number:
- 0001209191-21-039068
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-08 20:41:42
- Reporting Period:
- 2021-06-04
- Accepted Time:
- 2021-06-08 20:41:42
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1577526 | C3.Ai Inc. | AI | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1528387 | Condoleezza Rice | C/O C3.Ai, Inc. 1300 Seaport Blvd, Suite 500 Redwood City CA 94063 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2021-06-04 | 470 | $0.00 | 587 | No | 4 | J | Indirect | See Footnote |
| Class A Common Stock | Acquisiton | 2021-06-08 | 10,221 | $0.60 | 84,608 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2021-06-08 | 22,449 | $1.56 | 107,057 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2021-06-08 | 22,449 | $1.68 | 129,506 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2021-06-08 | 39,560 | $61.00 | 89,946 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2021-06-08 | 7,400 | $62.20 | 82,546 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2021-06-08 | 8,159 | $62.85 | 74,387 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | J | Indirect | See Footnote |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Stock Option (Right to Buy) | Disposition | 2021-06-08 | 10,221 | $0.00 | 10,221 | $0.60 |
| Class A Common Stock | Stock Option (Right to Buy) | Disposition | 2021-06-08 | 22,449 | $0.00 | 22,449 | $1.56 |
| Class A Common Stock | Stock Option (Right to Buy) | Disposition | 2021-06-08 | 22,449 | $0.00 | 22,449 | $1.68 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2022-10-24 | No | 4 | M | Direct | |
| 0 | 2024-10-20 | No | 4 | M | Direct | |
| 0 | 2025-10-19 | No | 4 | M | Direct |
Footnotes
- Pro rata distribution from Sutter Hill Ventures, a California limited partnership, of which the Reporting Person is a non-managing member.
- The shares are held by the Condoleezza Rice Trust Agreement U/A/D 11/24/99, of which the Reporting Person is trustee.
- Represents weighted average sales price. The shares were sold at prices ranging from $60.60 to $61.59. 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.
- Represents weighted average sales price. The shares were sold at prices ranging from $61.60 to $62.59. 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.
- Represents weighted average sales price. The shares were sold at prices ranging from $62.60 to $63.56. 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.
- Fully vested.
- 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.
Billionaire Hedge Funds
