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