Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-22-039333
Date:2022-06-22
Issuer: C3.AI, INC. (AI)
Original Submission Date:

Reporting Person:

BEHZADI HOUMAN
C/O C3.AI, INC.
1300 SEAPORT BLVD, SUITE 500 REDWOOD CITY, CA 94063

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON STOCK 2022-06-24 S 175 d $19.23 331,433 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS 0.0 2022-06-22 deemed execution date A 64,588 (a) class a common stock 64,588 $0.00 64,588 direct
RESTRICTED STOCK UNITS 0.0 2022-06-22 deemed execution date A 1,200,000 (a) class a common stock 1,200,000 $0.00 1,200,000 direct
Footnotes
IDfootnote
f1 shares sold to cover tax obligation from settlement of vested restricted stock units (rsus).
f2 each rsu represents a contingent right to receive one share of the issuer's class a common stock upon settlement.
f3 12.5% of each such rsu award shall vest on september 15, 2022 and 12.5% of each such rsu award shall vest on a quarterly basis thereafter, so long as the reporting person continues to provide services through such vesting date.
f4 6.25% of each such rsu award shall vest on september 15, 2022 and 6.25% of each such rsu award shall vest on a quarterly basis thereafter, so long as the reporting person continues to provide services through such vesting date.
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