0001209191-21-040272.txt : 20210614 0001209191-21-040272.hdr.sgml : 20210614 20210614170249 ACCESSION NUMBER: 0001209191-21-040272 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210610 FILED AS OF DATE: 20210614 DATE AS OF CHANGE: 20210614 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CLEVELAND BRUCE A CENTRAL INDEX KEY: 0001333063 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39744 FILM NUMBER: 211015340 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 2021-06-10 0 0001577526 C3.ai, Inc. AI 0001333063 CLEVELAND BRUCE A C/O C3.AI, INC. 1300 SEAPORT BLVD, SUITE 500 REDWOOD CITY CA 94063 0 1 0 0 Senior VP and CMO Class A Common Stock 2021-06-10 4 M 0 50000 4.68 A 71367 D Class A Common Stock 2021-06-10 4 S 0 20989 58.32 D 50378 D Class A Common Stock 2021-06-10 4 S 0 13377 59.34 D 37001 D Class A Common Stock 2021-06-10 4 S 0 6243 60.28 D 30758 D Class A Common Stock 2021-06-10 4 S 0 8925 61.36 D 21833 D Class A Common Stock 2021-06-10 4 S 0 466 62.37 D 21367 D Class A Common Stock 241 I See Footnote Option (Right to Buy) 4.68 2021-06-10 4 M 0 50000 0.00 D 2029-11-12 Class A Common Stock 50000 921767 D Represents weighted average sales price. The shares were sold at prices ranging from $57.92 to $58.91. 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 $58.92 to $59.91. 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 $59.92 to $60.81. 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 $60.97 to $61.91. 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 Cleveland Family Trust, of which the Reporting Person is trustee. Twenty percent (20%) of the shares subject to the option grant vested on November 4, 2020, and the remaining eighty percent (80%) of each such grant vests on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. /s/ Brady Mickelsen, Attorney-in-Fact 2021-06-14