0001209191-21-060492.txt : 20211014
0001209191-21-060492.hdr.sgml : 20211014
20211014173420
ACCESSION NUMBER: 0001209191-21-060492
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211012
FILED AS OF DATE: 20211014
DATE AS OF CHANGE: 20211014
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Barter David
CENTRAL INDEX KEY: 0001706672
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39744
FILM NUMBER: 211324149
MAIL ADDRESS:
STREET 1: C/O MODEL N, INC., 1600 SEAPORT BLVD.
STREET 2: SUITE 400
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
2021-10-12
0
0001577526
C3.ai, Inc.
AI
0001706672
Barter David
C/O C3.AI, INC.
1300 SEAPORT BLVD, SUITE 500
REDWOOD CITY
CA
94063
0
1
0
0
Senior VP and CFO
Class A Common Stock
2021-10-12
4
M
0
233332
17.10
A
233332
D
Class A Common Stock
2021-10-12
4
S
0
170333
45.04
D
62999
D
Stock Option (Right to Buy)
17.10
2021-10-12
4
M
0
233332
0.00
D
2030-10-20
Class A Common Stock
233332
933335
D
Transaction pursuant to a previously established Rule 10b5-1 Plan.
Represents weighted average sales price. The shares were sold at prices ranging from $45.00 to $45.42. 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.
Twenty percent (20%) of the shares subject to the option grant vested on October 8, 2021, 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.
Due to rounding in connection with the reverse stock split, the total shares include 2 additional shares that were not originally reported on the Reporting Person's Form 3.
/s/ Brady Mickelsen, Attorney-in-Fact
2021-10-14