Filing Details
- Accession Number:
- 0001209191-21-053025
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-08-23 19:01:14
- Reporting Period:
- 2021-08-19
- Accepted Time:
- 2021-08-23 19:01:14
- 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 |
|---|---|---|---|---|---|---|---|
| 1218471 | Y Edward Abbo | C/O C3.Ai, Inc. 1300 Seaport Blvd, Suite 500 Redwood City CA 94063 | Chief Technology Officer | No | Yes | 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 | 2021-08-19 | 34,707 | $1.56 | 434,691 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2021-08-19 | 33,707 | $44.94 | 400,984 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2021-08-19 | 1,000 | $45.55 | 399,984 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2021-08-21 | 100,000 | $0.00 | 499,984 | No | 4 | A | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | 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 | 2021-08-19 | 34,707 | $0.00 | 34,707 | $1.56 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 200,457 | 2024-01-20 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 54,666 | Indirect | See Footnote |
| Class A Common Stock | 123,921 | Indirect | See Footnote |
Footnotes
- Transaction pursuant to a previously established Rule 10b5-1 Plan.
- Represents weighted average sales price. The shares were sold at prices ranging from $44.48 to $45.47. 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 $45.48 to $45.65. 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 the grant of Restricted Stock Units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. 100% of the RSUs will fully vest on September 15, 2022 so long as the Reporting Person continues to provide services through such vesting date.
- The shares are held by the Abbo 2012 Children's Trust, of which the Reporting Person is trustee.
- The shares are held by the Edward Y. Abbo and Alison C. Abbo 2001 Family Trust, of which the Reporting Person is trustee.
- Fully vested.
Billionaire Hedge Funds
