Last 12 months
Inside the activity.
2 purchase rows · 44 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 2 |
| Dec 2025 | 0 | 6 |
| Jan 2026 | 0 | 2 |
| Feb 2026 | 0 | 2 |
| Mar 2026 | 2 | 7 |
| Apr 2026 | 0 | 2 |
| May 2026 | 0 | 3 |
| Jun 2026 | 0 | 6 |
| Jul 2026 | 0 | 4 |
| Aug 2026 | 0 | 3 |
| Sep 2026 | 0 | 5 |
| Oct 2026 | 0 | 2 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 16, 2021 Filed Mar 18, 2021 17:27 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 89,798 | $85.77 | $7,701,830.78 |
DisclosureSEC source: 0001387131-21-003682 · ai-form4_031621.xml · nonDerivative · entry 4 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 14,253,930 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.00 to $85.99 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,588,295 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,782,535 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,824,826 shares of Class A Common Stock. F8 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F9 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 17:27 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 74,436 | $86.36 | $6,428,181.31 |
DisclosureSEC source: 0001387131-21-003682 · ai-form4_031621.xml · nonDerivative · entry 3 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 14,343,728 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.00 to $86.97 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,588,295 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,782,535 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,824,826 shares of Class A Common Stock. F8 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F9 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 17:27 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 39,453 | $87.33 | $3,445,525.18 |
DisclosureSEC source: 0001387131-21-003682 · ai-form4_031621.xml · nonDerivative · entry 2 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 14,418,164 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.00 to $87.97 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,588,295 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,782,535 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,824,826 shares of Class A Common Stock. F8 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F9 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 17:27 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 2,200 | $88.14 | $193,913.06 |
DisclosureSEC source: 0001387131-21-003682 · ai-form4_031621.xml · nonDerivative · entry 1 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 14,457,617 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.00 to $88.41 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission (the "Commission"), upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,588,295 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,782,535 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,824,826 shares of Class A Common Stock. F8 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F9 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 15, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 321,768 | $86.37 | $27,792,196.17 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 17 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 14,459,817 F19 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.815 to $86.81 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 15, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 121,944 | $87.04 | $10,614,078.93 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 16 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 14,781,585 F18 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.82 to $87.69 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 15, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 31,765 | $88.23 | $2,802,629.13 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 15 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 14,903,529 F17 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.81 to $88.80 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 15, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 12,907 | $89.20 | $1,151,254.06 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 14 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 14,935,294 F16 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.82 to $89.80 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 15, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 9,916 | $90.27 | $895,147.07 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 13 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 14,948,201 F15 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.00 to $90.95 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 15, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 1,700 | $91.67 | $155,836.96 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 12 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 14,958,117 F14 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.04 to $91.75 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 15, 2021 Filed Mar 18, 2021 01:17 UTC |
SIEBEL THOMAS MDirector · Chief Executive Officer · 10% owner
|
SaleClass A Common Stock | 9,919 | $91.27 | $905,307.13 |
DisclosureSEC source: 0001209191-21-021623 · doc4.xml · nonDerivative · entry 6 SIEBEL THOMAS M · CIK 0001031530 · Director · Chief Executive Officer · 10% owner Siebel Living Trust u/a/d 7/27/93, as amended · CIK 0001834425 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,309,426 F7 · price: Represents weighted average sales price. The shares were sold at prices ranging from $90.85 to $91.75. 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. F2 · ownership.nature: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee. Read SEC document |
| March 15, 2021 Filed Mar 18, 2021 01:17 UTC |
SIEBEL THOMAS MDirector · Chief Executive Officer · 10% owner
|
SaleClass A Common Stock | 27,091 | $90.27 | $2,445,504.57 |
DisclosureSEC source: 0001209191-21-021623 · doc4.xml · nonDerivative · entry 5 SIEBEL THOMAS M · CIK 0001031530 · Director · Chief Executive Officer · 10% owner Siebel Living Trust u/a/d 7/27/93, as amended · CIK 0001834425 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,319,345 F6 · price: Represents weighted average sales price. The shares were sold at prices ranging from $89.84 to $90.74. 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. F2 · ownership.nature: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee. Read SEC document |
| March 15, 2021 Filed Mar 18, 2021 01:17 UTC |
SIEBEL THOMAS MDirector · Chief Executive Officer · 10% owner
|
SaleClass A Common Stock | 43,539 | $89.27 | $3,886,726.53 |
DisclosureSEC source: 0001209191-21-021623 · doc4.xml · nonDerivative · entry 4 SIEBEL THOMAS M · CIK 0001031530 · Director · Chief Executive Officer · 10% owner Siebel Living Trust u/a/d 7/27/93, as amended · CIK 0001834425 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,346,436 F5 · price: Represents weighted average sales price. The shares were sold at prices ranging from $88.84 to $89.80. 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. F2 · ownership.nature: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee. Read SEC document |
| March 15, 2021 Filed Mar 18, 2021 01:17 UTC |
SIEBEL THOMAS MDirector · Chief Executive Officer · 10% owner
|
SaleClass A Common Stock | 116,051 | $88.29 | $10,246,142.79 |
DisclosureSEC source: 0001209191-21-021623 · doc4.xml · nonDerivative · entry 3 SIEBEL THOMAS M · CIK 0001031530 · Director · Chief Executive Officer · 10% owner Siebel Living Trust u/a/d 7/27/93, as amended · CIK 0001834425 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,389,975 F4 · price: Represents weighted average sales price. The shares were sold at prices ranging from $87.84 to $88.83. 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. F2 · ownership.nature: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee. Read SEC document |
| March 15, 2021 Filed Mar 18, 2021 01:17 UTC |
SIEBEL THOMAS MDirector · Chief Executive Officer · 10% owner
|
SaleClass A Common Stock | 78,628 | $87.05 | $6,844,567.40 |
DisclosureSEC source: 0001209191-21-021623 · doc4.xml · nonDerivative · entry 2 SIEBEL THOMAS M · CIK 0001031530 · Director · Chief Executive Officer · 10% owner Siebel Living Trust u/a/d 7/27/93, as amended · CIK 0001834425 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,506,026 F3 · price: Represents weighted average sales price. The shares were sold at prices ranging from $86.80 to $87.77. 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. F2 · ownership.nature: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee. Read SEC document |
| March 15, 2021 Filed Mar 18, 2021 01:17 UTC |
SIEBEL THOMAS MDirector · Chief Executive Officer · 10% owner
|
SaleClass A Common Stock | 209,632 | $86.35 | $18,101,723.20 |
DisclosureSEC source: 0001209191-21-021623 · doc4.xml · nonDerivative · entry 1 SIEBEL THOMAS M · CIK 0001031530 · Director · Chief Executive Officer · 10% owner Siebel Living Trust u/a/d 7/27/93, as amended · CIK 0001834425 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,584,654 F1 · price: Represents weighted average sales price. The shares were sold at prices ranging from $85.80 to $86.79. 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. F2 · ownership.nature: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 16:30 UTC |
MCCAFFERY MICHAEL GDirector
|
SaleClass A Common Stock | 5,012 | $89.35 | $447,822.20 |
DisclosureSEC source: 0001209191-21-021346 · doc4.xml · nonDerivative · entry 4 MCCAFFERY MICHAEL G · CIK 0001256735 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 665,929 F5 · price: Represents weighted average sales price. The shares were sold at prices ranging from $89.00 to $89.80. 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. F2 · ownership.nature: Shares are held by the McCaffery Family Trust as amended 12/18/00, of which the Reporting Person is trustee. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 16:30 UTC |
MCCAFFERY MICHAEL GDirector
|
SaleClass A Common Stock | 51,694 | $88.33 | $4,566,131.02 |
DisclosureSEC source: 0001209191-21-021346 · doc4.xml · nonDerivative · entry 3 MCCAFFERY MICHAEL G · CIK 0001256735 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 670,941 F4 · price: Represents weighted average sales price. The shares were sold at prices ranging from $88.00 to $88.99. 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. F2 · ownership.nature: Shares are held by the McCaffery Family Trust as amended 12/18/00, of which the Reporting Person is trustee. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 16:30 UTC |
MCCAFFERY MICHAEL GDirector
|
SaleClass A Common Stock | 25,873 | $87.40 | $2,261,300.20 |
DisclosureSEC source: 0001209191-21-021346 · doc4.xml · nonDerivative · entry 2 MCCAFFERY MICHAEL G · CIK 0001256735 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 722,635 F3 · price: Represents weighted average sales price. The shares were sold at prices ranging from $87.00 to $87.995. 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. F2 · ownership.nature: Shares are held by the McCaffery Family Trust as amended 12/18/00, of which the Reporting Person is trustee. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 16:30 UTC |
MCCAFFERY MICHAEL GDirector
|
SaleClass A Common Stock | 106,904 | $86.51 | $9,248,265.04 |
DisclosureSEC source: 0001209191-21-021346 · doc4.xml · nonDerivative · entry 1 MCCAFFERY MICHAEL G · CIK 0001256735 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 748,508 F1 · price: Represents weighted average sales price. The shares were sold at prices ranging from $86.00 to $86.99. 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. F2 · ownership.nature: Shares are held by the McCaffery Family Trust as amended 12/18/00, of which the Reporting Person is trustee. Read SEC document |
| March 12, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 32,548 | $83.64 | $2,722,373.31 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 11 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 14,959,817 F13 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $83.08 to $84.07 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 12, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 17,705 | $84.52 | $1,496,403.58 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 10 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 14,992,365 F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $84.08 to $85.06 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 12, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 19,405 | $85.53 | $1,659,711.59 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 9 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 15,010,070 F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.08 to $86.05 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 12, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 2,000 | $86.63 | $173,264.40 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 8 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 15,029,475 F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.13 to $86.9481 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 12, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 50,705 | $88.05 | $4,464,347.08 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 7 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 15,031,475 F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.37 to $88.36 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 12, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 124,897 | $89.17 | $11,137,028.02 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 6 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 15,082,180 F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.38 to $89.375 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 12, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 201,061 | $89.84 | $18,062,335.04 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 5 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 15,207,077 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.38 to $90.37 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 12, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 9,470 | $90.44 | $856,457.33 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 4 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 15,408,138 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.40 to $90.91 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 49,430 | $86.17 | $4,259,254.58 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 3 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 15,417,608 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.55 to $86.54 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 114,794 | $86.91 | $9,977,056.48 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 2 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 15,467,038 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.55 to $87.49 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 19:22 UTC |
BONDERMAN DAVID10% owner
COULTER JAMES G10% owner
|
SaleClass A Common Stock | 7,141 | $88.03 | $628,597.95 |
DisclosureSEC source: 0001387131-21-003564 · ai-form4_031121.xml · nonDerivative · entry 1 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · 10% owner BONDERMAN DAVID · CIK 0000860866 · 10% owner COULTER JAMES G · CIK 0001099776 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 15,581,832 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.55 to $88.24 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission (the "Commission"), upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG Growth GenPar III Advisors, LLC, (ii) The Rise Fund GenPar Advisors, LLC and (iii) TPG Tech Adjacencies GenPar Advisors, LLC. F2 · ownership.nature: TPG Growth GenPar III Advisors, LLC is general partner of TPG Growth GenPar III, L.P., which is the general partner of TPG Growth III Cadia, L.P., which directly holds 8,748,111 shares of Class A Common Stock ("Class A Common Stock") of C3.ai, Inc. (the "Issuer"). The Rise Fund GenPar Advisors, LLC is general partner of The Rise Fund GenPar, L.P., which is the general partner of The Rise Fund Cadia, L.P., which directly holds 3,852,923 shares of Class A Common Stock. TPG Tech Adjacencies GenPar Advisors, LLC is the general partner of TPG Tech Adjacencies SPV GP, LLC, which is the general partner of TPG Tech Adjacencies Cadia, L.P. (together with TPG Growth III Cadia, L.P. and The Rise Fund Cadia, L.P., the "TPG Funds"), which directly holds 1,858,783 shares of Class A Common Stock. F20 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each TPG Fund and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such TPG Fund's or such Reporting Person's pecuniary interest therein, if any. F21 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 19:22 UTC |
ABBO EDWARD YChief Technology Officer
|
SaleClass A Common Stock | 3,600 | $88.07 | $317,052.00 |
DisclosureSEC source: 0001209191-21-020574 · doc4.xml · nonDerivative · entry 3 ABBO EDWARD Y · CIK 0001218471 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 498,621 F3 · price: Represents weighted average sales price. The shares were sold at prices ranging from $87.58 to $88.27. 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. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 19:22 UTC |
ABBO EDWARD YChief Technology Officer
|
SaleClass A Common Stock | 42,554 | $86.97 | $3,700,921.38 |
DisclosureSEC source: 0001209191-21-020574 · doc4.xml · nonDerivative · entry 2 ABBO EDWARD Y · CIK 0001218471 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 502,221 F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $86.58 to $87.55. 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. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 19:22 UTC |
ABBO EDWARD YChief Technology Officer
|
SaleClass A Common Stock | 37,082 | $86.15 | $3,194,614.30 |
DisclosureSEC source: 0001209191-21-020574 · doc4.xml · nonDerivative · entry 1 ABBO EDWARD Y · CIK 0001218471 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 544,775 F1 · price: Represents weighted average sales price. The shares were sold at prices ranging from $85.58 to $86.57. 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. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 02:18 UTC |
SIEBEL THOMAS MDirector · Chief Executive Officer · 10% owner
|
SaleClass A Common Stock | 15 | $88.15 | $1,322.25 |
DisclosureSEC source: 0001209191-21-019683 · doc4.xml · nonDerivative · entry 20 SIEBEL THOMAS M · CIK 0001031530 · Director · Chief Executive Officer · 10% owner Siebel Living Trust u/a/d 7/27/93, as amended · CIK 0001834425 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,794,286 F1 · ownership.nature: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 02:18 UTC |
SIEBEL THOMAS MDirector · Chief Executive Officer · 10% owner
|
SaleClass A Common Stock | 3,400 | $87.67 | $298,078.00 |
DisclosureSEC source: 0001209191-21-019683 · doc4.xml · nonDerivative · entry 19 SIEBEL THOMAS M · CIK 0001031530 · Director · Chief Executive Officer · 10% owner Siebel Living Trust u/a/d 7/27/93, as amended · CIK 0001834425 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,794,301 F19 · price: Represents weighted average sales price. The shares were sold at prices ranging from $87.02 to $87.96. 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. F1 · ownership.nature: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 02:18 UTC |
SIEBEL THOMAS MDirector · Chief Executive Officer · 10% owner
|
SaleClass A Common Stock | 27,503 | $86.41 | $2,376,534.23 |
DisclosureSEC source: 0001209191-21-019683 · doc4.xml · nonDerivative · entry 18 SIEBEL THOMAS M · CIK 0001031530 · Director · Chief Executive Officer · 10% owner Siebel Living Trust u/a/d 7/27/93, as amended · CIK 0001834425 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,797,701 F18 · price: Represents weighted average sales price. The shares were sold at prices ranging from $86.00 to $86.86. 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. F1 · ownership.nature: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 02:18 UTC |
SIEBEL THOMAS MDirector · Chief Executive Officer · 10% owner
|
SaleClass A Common Stock | 31,162 | $85.21 | $2,655,314.02 |
DisclosureSEC source: 0001209191-21-019683 · doc4.xml · nonDerivative · entry 17 SIEBEL THOMAS M · CIK 0001031530 · Director · Chief Executive Officer · 10% owner Siebel Living Trust u/a/d 7/27/93, as amended · CIK 0001834425 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,825,204 F17 · price: Represents weighted average sales price. The shares were sold at prices ranging from $85.00 to $85.98. 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. F1 · ownership.nature: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 02:18 UTC |
SIEBEL THOMAS MDirector · Chief Executive Officer · 10% owner
|
SaleClass A Common Stock | 195,261 | $84.46 | $16,491,744.06 |
DisclosureSEC source: 0001209191-21-019683 · doc4.xml · nonDerivative · entry 16 SIEBEL THOMAS M · CIK 0001031530 · Director · Chief Executive Officer · 10% owner Siebel Living Trust u/a/d 7/27/93, as amended · CIK 0001834425 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,856,366 F16 · price: Represents weighted average sales price. The shares were sold at prices ranging from $84.00 to $84.99. 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. F1 · ownership.nature: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 02:18 UTC |
SIEBEL THOMAS MDirector · Chief Executive Officer · 10% owner
|
SaleClass A Common Stock | 83,817 | $83.68 | $7,013,806.56 |
DisclosureSEC source: 0001209191-21-019683 · doc4.xml · nonDerivative · entry 15 SIEBEL THOMAS M · CIK 0001031530 · Director · Chief Executive Officer · 10% owner Siebel Living Trust u/a/d 7/27/93, as amended · CIK 0001834425 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 10,051,627 F15 · price: Represents weighted average sales price. The shares were sold at prices ranging from $83.00 to $83.99. 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. F1 · ownership.nature: The shares are held by The Siebel Living Trust u/a/d 7/27/93, a amended, of which the Reporting Person is trustee. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 02:19 UTC |
WARD JR STEPHEN MDirector
|
SaleClass A Common Stock | 100 | $89.72 | $8,972.00 |
DisclosureSEC source: 0001209191-21-019684 · doc4.xml · nonDerivative · entry 16 WARD JR STEPHEN M · CIK 0001164644 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 510,557 Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 02:19 UTC |
WARD JR STEPHEN MDirector
|
SaleClass A Common Stock | 700 | $88.99 | $62,293.00 |
DisclosureSEC source: 0001209191-21-019684 · doc4.xml · nonDerivative · entry 15 WARD JR STEPHEN M · CIK 0001164644 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 510,657 F15 · price: Represents weighted average sales price. The shares were sold at prices ranging from $88.61 to $89.40. 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. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 02:19 UTC |
WARD JR STEPHEN MDirector
|
SaleClass A Common Stock | 1,200 | $87.86 | $105,432.00 |
DisclosureSEC source: 0001209191-21-019684 · doc4.xml · nonDerivative · entry 14 WARD JR STEPHEN M · CIK 0001164644 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 511,357 F14 · price: Represents weighted average sales price. The shares were sold at prices ranging from $87.53 to $88.22. 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. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 02:19 UTC |
WARD JR STEPHEN MDirector
|
SaleClass A Common Stock | 900 | $87.02 | $78,318.00 |
DisclosureSEC source: 0001209191-21-019684 · doc4.xml · nonDerivative · entry 13 WARD JR STEPHEN M · CIK 0001164644 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 512,557 F13 · price: Represents weighted average sales price. The shares were sold at prices ranging from $86.52 to $87.46. 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. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 02:19 UTC |
WARD JR STEPHEN MDirector
|
SaleClass A Common Stock | 400 | $85.95 | $34,380.00 |
DisclosureSEC source: 0001209191-21-019684 · doc4.xml · nonDerivative · entry 12 WARD JR STEPHEN M · CIK 0001164644 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 513,457 F12 · price: Represents weighted average sales price. The shares were sold at prices ranging from $85.485 to $86.405. 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. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 02:19 UTC |
WARD JR STEPHEN MDirector
|
SaleClass A Common Stock | 4,524 | $84.59 | $382,685.16 |
DisclosureSEC source: 0001209191-21-019684 · doc4.xml · nonDerivative · entry 11 WARD JR STEPHEN M · CIK 0001164644 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 513,857 F11 · price: Represents weighted average sales price. The shares were sold at prices ranging from $84.25 to $85.15. 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. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 02:19 UTC |
WARD JR STEPHEN MDirector
|
SaleClass A Common Stock | 3,176 | $83.87 | $266,371.12 |
DisclosureSEC source: 0001209191-21-019684 · doc4.xml · nonDerivative · entry 10 WARD JR STEPHEN M · CIK 0001164644 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 518,381 F10 · price: Represents weighted average sales price. The shares were sold at prices ranging from $83.24 to $94.20. 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. Read SEC document |
| March 10, 2021 Filed Mar 10, 2021 21:11 UTC |
ABBO EDWARD YChief Technology Officer
|
SaleClass A Common Stock | 3,700 | $89.45 | $330,965.00 |
DisclosureSEC source: 0001209191-21-019673 · doc4.xml · nonDerivative · entry 22 ABBO EDWARD Y · CIK 0001218471 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 581,857 F22 · price: Represents weighted average sales price. The shares were sold at prices ranging from $89.00 to $89.82. 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. Read SEC document |
| March 10, 2021 Filed Mar 10, 2021 21:11 UTC |
ABBO EDWARD YChief Technology Officer
|
SaleClass A Common Stock | 3,978 | $88.46 | $351,893.88 |
DisclosureSEC source: 0001209191-21-019673 · doc4.xml · nonDerivative · entry 21 ABBO EDWARD Y · CIK 0001218471 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 585,557 F21 · price: Represents weighted average sales price. The shares were sold at prices ranging from $88.00 to $88.99. 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. Read SEC document |
| March 10, 2021 Filed Mar 10, 2021 21:11 UTC |
ABBO EDWARD YChief Technology Officer
|
SaleClass A Common Stock | 12,245 | $87.52 | $1,071,682.40 |
DisclosureSEC source: 0001209191-21-019673 · doc4.xml · nonDerivative · entry 20 ABBO EDWARD Y · CIK 0001218471 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 589,535 F20 · price: Represents weighted average sales price. The shares were sold at prices ranging from $87.00 to $87.98. 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.