0001209191-23-040234.txt : 20230629 0001209191-23-040234.hdr.sgml : 20230629 20230629200900 ACCESSION NUMBER: 0001209191-23-040234 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230627 FILED AS OF DATE: 20230629 DATE AS OF CHANGE: 20230629 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ABBO EDWARD Y CENTRAL INDEX KEY: 0001218471 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39744 FILM NUMBER: 231059030 MAIL ADDRESS: STREET 1: C/O C3.AI, INC. STREET 2: 1400 SEAPORT BLVD 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: 1400 SEAPORT BLVD CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 650-503-2200 MAIL ADDRESS: STREET 1: 1400 SEAPORT BLVD 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 X0407 4 2023-06-27 0 0001577526 C3.ai, Inc. AI 0001218471 ABBO EDWARD Y C/O C3.AI, INC. 1400 SEAPORT BLVD REDWOOD CITY CA 94063 0 1 0 0 Chief Technology Officer 1 Class A Common Stock 2023-06-27 4 M 0 179191 1.56 A 508301 D Class A Common Stock 2023-06-27 4 M 0 107143 1.68 A 615444 D Class A Common Stock 2023-06-27 4 M 0 250000 1.86 A 865444 D Class A Common Stock 2023-06-27 4 M 0 47874 2.82 A 913318 D Class A Common Stock 2023-06-27 4 M 0 114190 4.56 A 1027508 D Class A Common Stock 2023-06-27 4 M 0 80854 4.56 A 1108362 D Class A Common Stock 2023-06-27 4 S 0 457585 32.96 D 650777 D Class A Common Stock 149577 I See Footnote Class A Common Stock 149578 I See Footnote Class A Common Stock 149578 I See Footnote Stock Option (Right to Buy) 1.56 2023-06-27 4 M 0 179191 0.00 D 2024-01-20 Class A Common Stock 179191 0 D Stock Option (Right to Buy) 1.68 2023-06-27 4 M 0 107143 0.00 D 2026-07-12 Class A Common Stock 107143 0 D Stock Option (Right to Buy) 1.86 2023-06-27 4 M 0 250000 0.00 D 2026-11-29 Class A Common Stock 250000 0 D Stock Option (Right to Buy) 2.82 2023-06-27 4 M 0 47874 0.00 D 2028-05-22 Class A Common Stock 47874 0 D Stock Option (Right to Buy) 4.56 2023-06-27 4 M 0 114190 0.00 D 2029-06-12 Class A Common Stock 114190 30548 D Stock Option (Right to Buy) 4.56 2023-06-27 4 M 0 80854 0.00 D 2030-07-05 Class A Common Stock 80854 63884 D Transaction pursuant to a previously established Rule 10b5-1 Plan dated March 22, 2023. Represents weighted average sales price. The shares were sold at prices ranging from $32.68 to $33.50. 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. The shares are held by the Abbo 2012 Children's Trust FBO Casey Cecile Abbo, of which the Reporting Person is trustee. The shares are held by the Abbo 2012 Children's Trust FBO Dana Lauren Abbo, of which the Reporting Person is trustee. The shares are held by the Abbo 2012 Children's Trust FBO Layla Grace Abbo, of which the Reporting Person is trustee. Fully vested. Due to rounding in connection with the reverse stock split, the total shares include 2 additional shares that was not originally reported on the Reporting Person's Form 3 Twenty percent (20%) of the shares subject to the option grant vested on May 1, 2020, and the remaining eighty percent (80%) of 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. Twenty percent (20%) of the shares subject to the option grant vested on May 1, 2021, and the remaining eighty percent (80%) of 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/ Eric C. Jensen, Attorney-in-Fact 2023-06-29