0001415889-24-029030.txt : 20241211 0001415889-24-029030.hdr.sgml : 20241211 20241211201528 ACCESSION NUMBER: 0001415889-24-029030 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20241209 FILED AS OF DATE: 20241211 DATE AS OF CHANGE: 20241211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEVIN RICHARD C CENTRAL INDEX KEY: 0001255200 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39744 FILM NUMBER: 241542942 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] ORGANIZATION NAME: 06 Technology 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 form4-12122024_011224.xml X0508 4 2024-12-09 0001577526 C3.ai, Inc. AI 0001255200 LEVIN RICHARD C C/O C3.AI, INC. 1400 SEAPORT BLVD REDWOOD CITY CA 94063 true false false false 1 Class A Common Stock 2024-12-09 4 M 0 72000 4.68 A 233664 D Class A Common Stock 2024-12-09 4 S 0 72000 42 D 161664 D Stock Option (Right to Buy) 4.68 2024-12-09 4 M 0 72000 0 D 2029-10-18 Class A Common Stock 72000 63955 D The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 28, 2023. Represents weighted average sales price. The shares were sold at prices ranging from $42.00 to $42.05. 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. Provided the Reporting Person remains a director of the Company and attends in person the regularly scheduled meeting of the Board during each fiscal quarter, commencing on October 17, 2019, then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "Quarterly Shares") during the term of the option, provided, however, if the Reporting Person fails to attend any such regularly scheduled meeting, then vesting for the Quarterly Shares shall not occur and will be suspended (any such suspended Quarterly Shares being referred to collectively as the "Suspended Shares"). For any Suspended Shares, such shares shall vest only following the fifth anniversary of the applicable Vesting Commencement Date, if the Reporting Person satisfies the attendance requirements in subsequent periods. Due to rounding in connection with the reverse stock split, the total shares include an additional share that was not originally reported on the Reporting Person's Form 3. /s/ Eric Jensen, Attorney-in-Fact 2024-12-11