0001209191-21-019684.txt : 20210310 0001209191-21-019684.hdr.sgml : 20210310 20210310211927 ACCESSION NUMBER: 0001209191-21-019684 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210308 FILED AS OF DATE: 20210310 DATE AS OF CHANGE: 20210310 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARD JR STEPHEN M CENTRAL INDEX KEY: 0001164644 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39744 FILM NUMBER: 21731587 MAIL ADDRESS: STREET 1: C/O CARPENTER TECHNOLOGY CORP STREET 2: PO BOX 14662 CITY: READING STATE: PA ZIP: 19612 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 2021-03-08 0 0001577526 C3.ai, Inc. AI 0001164644 WARD JR STEPHEN M C/O C3.AI, INC. 1300 SEAPORT BLVD, SUITE 500 REDWOOD CITY CA 94063 1 0 0 0 Class A Common Stock 2021-03-08 4 S 0 2900 90.31 D 670118 D Class A Common Stock 2021-03-08 4 S 0 1400 91.49 D 668718 D Class A Common Stock 2021-03-08 4 S 0 700 92.31 D 668018 D Class A Common Stock 2021-03-09 4 S 0 14912 83.90 D 653106 D Class A Common Stock 2021-03-09 4 S 0 59478 84.76 D 593628 D Class A Common Stock 2021-03-09 4 S 0 45816 85.52 D 547812 D Class A Common Stock 2021-03-09 4 S 0 17455 86.58 D 530357 D Class A Common Stock 2021-03-09 4 S 0 8100 87.63 D 522257 D Class A Common Stock 2021-03-09 4 S 0 700 88.42 D 521557 D Class A Common Stock 2021-03-10 4 S 0 3176 83.87 D 518381 D Class A Common Stock 2021-03-10 4 S 0 4524 84.59 D 513857 D Class A Common Stock 2021-03-10 4 S 0 400 85.95 D 513457 D Class A Common Stock 2021-03-10 4 S 0 900 87.02 D 512557 D Class A Common Stock 2021-03-10 4 S 0 1200 87.86 D 511357 D Class A Common Stock 2021-03-10 4 S 0 700 88.99 D 510657 D Class A Common Stock 2021-03-10 4 S 0 100 89.72 D 510557 D Represents weighted average sales price. The shares were sold at prices ranging from $90.00 to $90.94. 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 $91.01 to $91.97. 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 $92.13 to $92.71. 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 $83.15 to $84.145. 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 $84.18 to $85.1701. 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 $85.18 to $86.17. 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 $86.185 to $87.15. 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 $87.22 to $88.18. 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 $88.25 to $88.50. 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 $83.24 to $94.20. 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 $84.25 to $85.15. 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 $85.485 to $86.405. 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 $86.52 to $87.46. 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 $87.53 to $88.22. 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 $88.61 to $89.40. 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. /s/ Brady Mickelsen, Attorney-in-Fact 2021-03-10