Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| C3.ai, Inc.AI · Entity 2413 | Director | October 05, 2022 | October 07, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
C3.ai, Inc.
Report date October 05, 2022 · Filed October 07, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.49 · Expires 2032-10-04 | Direct | 50,349 |
Reported balance
After 2022-10-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-10-05 · Grant · Acquired 50,349 · Balance 50,349 F1: Provided the Reporting Person remains a director of the Company and attends in person the regularly scheduled meeting of the Board during each fiscal quarter, commencing on October 5, 2022 (the "Vesting Commencement Date"), then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "Quarterly Shares") during the term of the option, provided, however, if the Reporting Person fails to attend any such regularly scheduled meeting, then vesting for the Quarterly Shares shall not occur and will be suspended (any such suspended Quarterly Shares being referred to collectively as the "Suspended Shares"). For any Suspended Shares, such shares shall vest only following the fifth anniversary of the applicable Vesting Commencement Date, if the Reporting Person satisfies the attendance requirements in subsequent periods. |
Filing footnotes · ownership attribution and instrument terms
F1: Provided the Reporting Person remains a director of the Company and attends in person the regularly scheduled meeting of the Board during each fiscal quarter, commencing on October 5, 2022 (the "Vesting Commencement Date"), then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "Quarterly Shares") during the term of the option, provided, however, if the Reporting Person fails to attend any such regularly scheduled meeting, then vesting for the Quarterly Shares shall not occur and will be suspended (any such suspended Quarterly Shares being referred to collectively as the "Suspended Shares"). For any Suspended Shares, such shares shall vest only following the fifth anniversary of the applicable Vesting Commencement Date, if the Reporting Person satisfies the attendance requirements in subsequent periods.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 05, 2022 Filed Oct 7, 2022 21:37 UTC | C3.ai, Inc. AI · Entity 2413 | GrantStock Option (Right to Buy) · Derivative | 50,349 | $0.00 Strike: $13.49 | $0.00 |
DisclosureSEC source: 0001209191-22-053143 · doc4.xml · derivative · entry 1 Sastry Shankar · CIK 0001834678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,349 Underlying: Class A Common Stock · 50,349 shares Expires 2032-10-04 F1 · derivative.exercise_date: Provided the Reporting Person remains a director of the Company and attends in person the regularly scheduled meeting of the Board during each fiscal quarter, commencing on October 5, 2022 (the "Vesting Commencement Date"), then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "Quarterly Shares") during the term of the option, provided, however, if the Reporting Person fails to attend any such regularly scheduled meeting, then vesting for the Quarterly Shares shall not occur and will be suspended (any such suspended Quarterly Shares being referred to collectively as the "Suspended Shares"). For any Suspended Shares, such shares shall vest only following the fifth anniversary of the applicable Vesting Commencement Date, if the Reporting Person satisfies the attendance requirements in subsequent periods. Read SEC document |
| September 22, 2022 Filed Sep 26, 2022 20:57 UTC | C3.ai, Inc. AI · Entity 2413 | Exercise / conversionStock Option (Right to Buy) · Derivative | 79,142 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001209191-22-051258 · doc4.xml · derivative · entry 3 Sastry Shankar · CIK 0001834678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 79,142 shares Expires 2022-10-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · shares: Due to rounding in connection with the reverse stock split, the total shares include 1 additional share that was not originally reported on the Reporting Person's Form 3. F4 · derivative.exercise_date: The option is fully vested. Read SEC document |
| September 22, 2022 Filed Sep 26, 2022 20:57 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 79,142 | $13.19 | $1,043,882.98 |
DisclosureSEC source: 0001209191-22-051258 · doc4.xml · nonDerivative · entry 2 Sastry Shankar · CIK 0001834678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,640 F1 · kind: The sale of the shares was from the exercise of an option grant expiring on October 24, 2022. F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $13.05 to $13.39. 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 |
| September 22, 2022 Filed Sep 26, 2022 20:57 UTC | C3.ai, Inc. AI · Entity 2413 | Exercise / conversionClass A Common Stock | 79,142 | $0.60 | $47,485.20 |
DisclosureSEC source: 0001209191-22-051258 · doc4.xml · nonDerivative · entry 1 Sastry Shankar · CIK 0001834678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,782 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 06, 2021 Filed Oct 8, 2021 21:50 UTC | C3.ai, Inc. AI · Entity 2413 | GrantStock Option (Right to Buy) · Derivative | 17,166 | $0.00 Strike: $44.44 | $0.00 |
DisclosureSEC source: 0001209191-21-060092 · doc4.xml · derivative · entry 1 Sastry Shankar · CIK 0001834678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,166 Underlying: Class A Common Stock · 17,166 shares Expires 2031-10-05 F1 · derivative.exercise_date: Provided the Reporting Person remains a director of the Company and attends in person the regularly scheduled meeting of the Board during each fiscal quarter, commencing on October 6, 2021 (the "Vesting Commencement Date"), then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "Quarterly Shares") during the term of the option, provided, however, if the Reporting Person fails to attend any such regularly scheduled meeting, then vesting for the Quarterly Shares shall not occur and will be suspended (any such suspended Quarterly Shares being referred to collectively as the "Suspended Shares"). For any Suspended Shares, such shares shall vest only following the fifth anniversary of the applicable Vesting Commencement Date, if the Reporting Person satisfies the attendance requirements in subsequent periods. Read SEC document |
| April 14, 2021 Filed Apr 15, 2021 22:54 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 3,889 | $72.60 | $282,341.40 |
DisclosureSEC source: 0001209191-21-026869 · doc4.xml · nonDerivative · entry 8 Sastry Shankar · CIK 0001834678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,640 F8 · price: Represents weighted average sales price. The shares were sold at prices ranging from $72.33 to $72.98. 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 |
| April 14, 2021 Filed Apr 15, 2021 22:54 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 6,695 | $71.76 | $480,433.20 |
DisclosureSEC source: 0001209191-21-026869 · doc4.xml · nonDerivative · entry 7 Sastry Shankar · CIK 0001834678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,529 F7 · price: Represents weighted average sales price. The shares were sold at prices ranging from $71.31 to $72.165. 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 |
| April 14, 2021 Filed Apr 15, 2021 22:54 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 5,299 | $70.73 | $374,798.27 |
DisclosureSEC source: 0001209191-21-026869 · doc4.xml · nonDerivative · entry 6 Sastry Shankar · CIK 0001834678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,224 F6 · price: Represents weighted average sales price. The shares were sold at prices ranging from $70.275 to $71.24. 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 |
| April 14, 2021 Filed Apr 15, 2021 22:54 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 8,290 | $69.72 | $577,978.80 |
DisclosureSEC source: 0001209191-21-026869 · doc4.xml · nonDerivative · entry 5 Sastry Shankar · CIK 0001834678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,523 F5 · price: Represents weighted average sales price. The shares were sold at prices ranging from $69.27 to $70.22. 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 |
| April 14, 2021 Filed Apr 15, 2021 22:54 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 15,590 | $68.75 | $1,071,812.50 |
DisclosureSEC source: 0001209191-21-026869 · doc4.xml · nonDerivative · entry 4 Sastry Shankar · CIK 0001834678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,813 F4 · price: Represents weighted average sales price. The shares were sold at prices ranging from $68.25 to $69.22. 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 |
| April 14, 2021 Filed Apr 15, 2021 22:54 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 2,457 | $67.85 | $166,707.45 |
DisclosureSEC source: 0001209191-21-026869 · doc4.xml · nonDerivative · entry 3 Sastry Shankar · CIK 0001834678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,403 F3 · price: Represents weighted average sales price. The shares were sold at prices ranging from $67.25 to $68.16. 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 |
| April 14, 2021 Filed Apr 15, 2021 22:54 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 5,422 | $66.63 | $361,267.86 |
DisclosureSEC source: 0001209191-21-026869 · doc4.xml · nonDerivative · entry 2 Sastry Shankar · CIK 0001834678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,860 F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $66.11 to $67.05. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| April 14, 2021 Filed Apr 15, 2021 22:54 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 2,358 | $65.72 | $154,967.76 |
DisclosureSEC source: 0001209191-21-026869 · doc4.xml · nonDerivative · entry 1 Sastry Shankar · CIK 0001834678 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,282 F1 · price: Represents weighted average sales price. The shares were sold at prices ranging from $65.07 to $66.02. 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.