0001209191-21-021623.txt : 20210317
0001209191-21-021623.hdr.sgml : 20210317
20210317211733
ACCESSION NUMBER: 0001209191-21-021623
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210315
FILED AS OF DATE: 20210317
DATE AS OF CHANGE: 20210317
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SIEBEL THOMAS M
CENTRAL INDEX KEY: 0001031530
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39744
FILM NUMBER: 21752731
MAIL ADDRESS:
STREET 1: SIEBEL SYSTEMS INC
STREET 2: 2207 BRIDGEPOINTE PARKWAY
CITY: SAN MATEO
STATE: CA
ZIP: 94404
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Siebel Living Trust u/a/d 7/27/93, as amended
CENTRAL INDEX KEY: 0001834425
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39744
FILM NUMBER: 21752730
BUSINESS ADDRESS:
STREET 1: C/O C3.AI, INC.
STREET 2: 1300 SEAPORT BLVD., SUITE 500
CITY: REDWOOD CITY
STATE: CA
ZIP: 94063
BUSINESS PHONE: 650-503-2200
MAIL ADDRESS:
STREET 1: C/O C3.AI, INC.
STREET 2: 1300 SEAPORT BLVD., SUITE 500
CITY: REDWOOD CITY
STATE: CA
ZIP: 94063
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: C3.ai, Inc.
CENTRAL INDEX KEY: 0001577526
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 263999357
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0430
BUSINESS ADDRESS:
STREET 1: 1300 SEAPORT BLVD
STREET 2: SUITE 500
CITY: REDWOOD CITY
STATE: CA
ZIP: 94063
BUSINESS PHONE: 650-503-2218
MAIL ADDRESS:
STREET 1: 1300 SEAPORT BLVD
STREET 2: SUITE 500
CITY: REDWOOD CITY
STATE: CA
ZIP: 94063
FORMER COMPANY:
FORMER CONFORMED NAME: C3 IoT, Inc.
DATE OF NAME CHANGE: 20180123
FORMER COMPANY:
FORMER CONFORMED NAME: C3, Inc.
DATE OF NAME CHANGE: 20130522
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-03-15
0
0001577526
C3.ai, Inc.
AI
0001031530
SIEBEL THOMAS M
C/O C3.AI, INC.
1300 SEAPORT BLVD, SUITE 500
REDWOOD CITY
CA
94603
1
1
1
0
Chief Executive Officer
0001834425
Siebel Living Trust u/a/d 7/27/93, as amended
C/O C3.AI, INC.
1300 SEAPORT BLVD, SUITE 500
REDWOOD CITY
CA
94063
0
0
1
0
Class A Common Stock
2021-03-15
4
S
0
209632
86.35
D
9584654
I
See Footnote
Class A Common Stock
2021-03-15
4
S
0
78628
87.05
D
9506026
I
See Footnote
Class A Common Stock
2021-03-15
4
S
0
116051
88.29
D
9389975
I
See Footnote
Class A Common Stock
2021-03-15
4
S
0
43539
89.27
D
9346436
I
See Footnote
Class A Common Stock
2021-03-15
4
S
0
27091
90.27
D
9319345
I
See Footnote
Class A Common Stock
2021-03-15
4
S
0
9919
91.27
D
9309426
I
See Footnote
Class A Common Stock
2021-03-16
4
S
0
16764
85.71
D
9292662
I
See Footnote
Class A Common Stock
2021-03-16
4
S
0
19601
86.44
D
9273061
I
See Footnote
Class A Common Stock
2021-03-16
4
S
0
5670
87.27
D
9267391
I
See Footnote
Class A Common Stock
2021-03-16
4
S
0
100
88.09
D
9267291
I
See Footnote
Class A Common Stock
2021-03-17
4
S
0
8762
79.99
D
9258529
I
See Footnote
Class A Common Stock
2021-03-17
4
S
0
3800
80.98
D
9254729
I
See Footnote
Class A Common Stock
2021-03-17
4
S
0
10857
81.97
D
9243872
I
See Footnote
Class A Common Stock
2021-03-17
4
S
0
4400
82.82
D
9239472
I
See Footnote
Class A Common Stock
2021-03-17
4
M
0
163934
1.86
A
2339600
D
Class A Common Stock
2021-03-17
4
S
0
379410
80.62
D
1960190
D
Class A Common Stock
2021-03-17
4
S
0
125225
81.51
D
1834965
D
Class A Common Stock
2021-03-17
4
S
0
74671
82.47
D
1760294
D
Class A Common Stock
2021-03-17
4
S
0
3904
83.21
D
1756390
D
Class A Common Stock
9216
I
See Footnote
Class A Common Stock
170294
I
See Footnote
Class A Common Stock
72695
I
See Footnote
Class A Common Stock
1237115
I
See Footnote
Stock Option (Right to Buy)
1.86
2021-03-17
4
M
0
163934
0.00
D
2026-11-29
Class A Common Stock
163934
1336066
D
Represents weighted average sales price. The shares were sold at prices ranging from $85.80 to $86.79. 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.
The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee.
Represents weighted average sales price. The shares were sold at prices ranging from $86.80 to $87.77. 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 $87.84 to $88.83. 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 $88.84 to $89.80. 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 $89.84 to $90.74. 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 $90.85 to $91.75. 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 $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.
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.
Represents weighted average sales price. The shares were sold at prices ranging from $87.00 to $87.95. 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 $79.48 to $80.46. 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 $80.49 to $81.48. 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 $81.51 to $82.33. 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 $82.71 to $83.30. 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 $80.16 to $81.15. 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 $81.16 to $82.15. 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 $82.16 to $83.15. 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 $83.18 to $83.28. 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.
The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is Chairman.
The shares are held by Siebel Asset Management, L.P., of which the Reporting Person is the general partner.
The shares are held by Siebel Asset Management III, L.P., of which the Reporting Person is the general partner.
The shares are held by The Siebel 2011 Irrevocable Children's Trust, of which the Reporting Person is co-trustee.
The options vest on an equal quarterly basis over the five (5) year period following November 30, 2016, so long as the Reporting Person continues to provide services through such vesting dates.
/s/ Brady Mickelsen, Attorney-in-Fact
2021-03-17
/s/ Brady Mickelsen, Attorney-in-Fact
2021-03-17