Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| C3.ai, Inc.AI · Entity 2413 | Senior VP and CMO | September 17, 2021 | September 21, 2021 |
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 September 17, 2021 · Filed September 21, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 21,867 |
Ending reported balance
After 2021-09-17 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2021-09-17 · Exercise / conversion · Acquired 10,000 · Balance 31,867 Row 2 · 2021-09-17 · Sale · Disposed 8,000 · Balance 23,867 F1: Represents weighted average sales price. The shares were sold at prices ranging from $49.73 to $50.72. 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. Row 3 · 2021-09-17 · Sale · Disposed 2,000 · Balance 21,867 F2: Represents weighted average sales price. The shares were sold at prices ranging from $50.75 to $51.27. 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. |
| Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.68 · Expires 2029-11-12 | Direct | 911,767 |
Reported balance
After 2021-09-17 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-09-17 · Exercise / conversion · Disposed 10,000 · Balance 911,767 F4: Twenty percent (20%) of the shares subject to the option grant vested on November 4, 2020, and the remaining eighty percent (80%) of each such grant vests on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 241 |
Reported balance
Holding disclosure · report date 2021-09-17 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 241 F3: The shares are held by the Cleveland Family Trust, of which the Reporting Person is trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents weighted average sales price. The shares were sold at prices ranging from $49.73 to $50.72. 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: Represents weighted average sales price. The shares were sold at prices ranging from $50.75 to $51.27. 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.
F3: The shares are held by the Cleveland Family Trust, of which the Reporting Person is trustee.
F4: Twenty percent (20%) of the shares subject to the option grant vested on November 4, 2020, and the remaining eighty percent (80%) of each such grant vests on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates.
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 |
|---|---|---|---|---|---|---|
| September 17, 2021 Filed Sep 21, 2021 17:59 UTC | C3.ai, Inc. AI · Entity 2413 | Exercise / conversionOption (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $4.68 | $0.00 |
DisclosureSEC source: 0001209191-21-057086 · doc4.xml · derivative · entry 5 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 911,767 Underlying: Class A Common Stock · 10,000 shares Expires 2029-11-12 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. F4 · derivative.exercise_date: Twenty percent (20%) of the shares subject to the option grant vested on November 4, 2020, and the remaining eighty percent (80%) of each such grant vests on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. Read SEC document |
| September 17, 2021 Filed Sep 21, 2021 17:59 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 2,000 | $50.97 | $101,940.00 |
DisclosureSEC source: 0001209191-21-057086 · doc4.xml · nonDerivative · entry 3 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,867 F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $50.75 to $51.27. 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 |
| September 17, 2021 Filed Sep 21, 2021 17:59 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 8,000 | $50.30 | $402,400.00 |
DisclosureSEC source: 0001209191-21-057086 · doc4.xml · nonDerivative · entry 2 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,867 F1 · price: Represents weighted average sales price. The shares were sold at prices ranging from $49.73 to $50.72. 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 17, 2021 Filed Sep 21, 2021 17:59 UTC | C3.ai, Inc. AI · Entity 2413 | Exercise / conversionClass A Common Stock | 10,000 | $4.68 | $46,800.00 |
DisclosureSEC source: 0001209191-21-057086 · doc4.xml · nonDerivative · entry 1 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,867 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 |
| June 23, 2021 Filed Jun 25, 2021 18:52 UTC | C3.ai, Inc. AI · Entity 2413 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $61.65 | $0.00 |
DisclosureSEC source: 0001209191-21-043400 · doc4.xml · derivative · entry 3 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Class A Common Stock · 60,000 shares Expires 2031-06-22 F3 · derivative.exercise_date: Twenty percent (20%) of the shares subject to the option grant shall vest on June 23, 2021, and the remaining eighty percent (80%) of each such grant vests on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. Read SEC document |
| June 23, 2021 Filed Jun 25, 2021 18:52 UTC | C3.ai, Inc. AI · Entity 2413 | GrantClass A Common Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-043400 · doc4.xml · nonDerivative · entry 1 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,867 F1 · shares: Represents the grant of Restricted Stock Units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. 100% of the RSUs will fully vest on June 23, 2022 so long as the Reporting Person continues to provide services through such vesting date. Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 17:02 UTC | C3.ai, Inc. AI · Entity 2413 | Exercise / conversionOption (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $4.68 | $0.00 |
DisclosureSEC source: 0001209191-21-040272 · doc4.xml · derivative · entry 8 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 921,767 Underlying: Class A Common Stock · 50,000 shares Expires 2029-11-12 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. F6 · derivative.exercise_date: Twenty percent (20%) of the shares subject to the option grant vested on November 4, 2020, and the remaining eighty percent (80%) of each such grant vests on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 17:02 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 466 | $62.37 | $29,064.42 |
DisclosureSEC source: 0001209191-21-040272 · doc4.xml · nonDerivative · entry 6 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,367 Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 17:02 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 8,925 | $61.36 | $547,638.00 |
DisclosureSEC source: 0001209191-21-040272 · doc4.xml · nonDerivative · entry 5 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,833 F4 · price: Represents weighted average sales price. The shares were sold at prices ranging from $60.97 to $61.91. 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 |
| June 10, 2021 Filed Jun 14, 2021 17:02 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 6,243 | $60.28 | $376,328.04 |
DisclosureSEC source: 0001209191-21-040272 · doc4.xml · nonDerivative · entry 4 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,758 F3 · price: Represents weighted average sales price. The shares were sold at prices ranging from $59.92 to $60.81. 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 |
| June 10, 2021 Filed Jun 14, 2021 17:02 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 13,377 | $59.34 | $793,791.18 |
DisclosureSEC source: 0001209191-21-040272 · doc4.xml · nonDerivative · entry 3 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,001 F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $58.92 to $59.91. 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 |
| June 10, 2021 Filed Jun 14, 2021 17:02 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 20,989 | $58.32 | $1,224,078.48 |
DisclosureSEC source: 0001209191-21-040272 · doc4.xml · nonDerivative · entry 2 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,378 F1 · price: Represents weighted average sales price. The shares were sold at prices ranging from $57.92 to $58.91. 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 |
| June 10, 2021 Filed Jun 14, 2021 17:02 UTC | C3.ai, Inc. AI · Entity 2413 | Exercise / conversionClass A Common Stock | 50,000 | $4.68 | $234,000.00 |
DisclosureSEC source: 0001209191-21-040272 · doc4.xml · nonDerivative · entry 1 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,367 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 |
| March 08, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | Exercise / conversionOption (Right to Buy) · Derivative | 6,867 | $0.00 Strike: $4.68 | $0.00 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · derivative · entry 16 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 971,767 Underlying: Class A Common Stock · 6,867 shares Expires 2029-11-12 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. F12 · derivative.exercise_date: Twenty percent (20%) of the shares subject to the option grant vested on November 4, 2020, and the remaining eighty percent (80%) of each such grant vests on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | OtherClass A Common Stock | 241 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 14 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 241 F11 · kind: Pro rata distribution from Interwest Partners X, LP, of which the Reporting Person is a non-managing member. F1 · ownership.nature: The shares are held by the Cleveland Family Trust, of which the Reporting Person is trustee. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 2,400 | $92.39 | $221,736.00 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 13 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,367 F10 · price: Represents weighted average sales price. The shares were sold at prices ranging from $92.04 to $92.98. 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 |
| March 08, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 4,480 | $91.57 | $410,233.60 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 12 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,767 F9 · price: Represents weighted average sales price. The shares were sold at prices ranging from $91.01 to $92.00. 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 08, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 4,700 | $90.56 | $425,632.00 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 11 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,247 F8 · price: Represents weighted average sales price. The shares were sold at prices ranging from $90.00 to $90.99. 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 08, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 12,567 | $89.29 | $1,122,107.43 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 10 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,947 F7 · price: Represents weighted average sales price. The shares were sold at prices ranging from $89.00 to $89.99. 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 08, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 6,200 | $88.42 | $548,204.00 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 9 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,514 F6 · 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 08, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 5,600 | $87.53 | $490,168.00 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 8 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,714 F5 · price: Represents weighted average sales price. The shares were sold at prices ranging from $87.00 to $87.99. 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 08, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 7,600 | $86.57 | $657,932.00 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 7 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,314 F4 · 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. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 12,700 | $85.53 | $1,086,231.00 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 6 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,914 F3 · price: Represents weighted average sales price. The shares were sold at prices ranging from $85.00 to $85.99. 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 08, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | SaleClass A Common Stock | 8,702 | $84.48 | $735,144.96 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 5 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,614 F2 · 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. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | Exercise / conversionClass A Common Stock | 6,867 | $4.68 | $32,137.56 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 4 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,316 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 |
| March 04, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | GiftClass A Common Stock | 27,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 3 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,449 Read SEC document |
| March 04, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | GiftClass A Common Stock | 27,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 2 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · ownership.nature: The shares are held by the Cleveland Family Trust, of which the Reporting Person is trustee. Read SEC document |
| February 25, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | Exercise / conversionOption (Right to Buy) · Derivative | 21,367 | $0.00 Strike: $4.68 | $0.00 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · derivative · entry 15 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 978,634 Underlying: Class A Common Stock · 21,367 shares Expires 2029-11-12 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. F12 · derivative.exercise_date: Twenty percent (20%) of the shares subject to the option grant vested on November 4, 2020, and the remaining eighty percent (80%) of each such grant vests on a monthly basis for the following four years, so long as the Reporting Person continues to provide services through such vesting dates. Read SEC document |
| February 25, 2021 Filed Mar 10, 2021 21:12 UTC | C3.ai, Inc. AI · Entity 2413 | Exercise / conversionClass A Common Stock | 21,367 | $4.68 | $99,997.56 |
DisclosureSEC source: 0001209191-21-019676 · doc4.xml · nonDerivative · entry 1 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,116 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 |
| December 11, 2020 Filed Dec 11, 2020 16:12 UTC | C3.ai, Inc. AI · Entity 2413 | ConversionSeries D Convertible Preferred Stock · Derivative | 2,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-062922 · doc4.xml · derivative · entry 5 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 2,333 shares Expires not disclosed 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. F1 · derivative.exercise_price: Immediately upon the closing of the Issuer's initial public offering, all shares of Series B* Convertible Preferred Stock and Series D Convertible Preferred Stock automatically converted on a 1:1 basis into shares of Class A Common Stock and had no expiration date. F1 · derivative.exercise_date: Immediately upon the closing of the Issuer's initial public offering, all shares of Series B* Convertible Preferred Stock and Series D Convertible Preferred Stock automatically converted on a 1:1 basis into shares of Class A Common Stock and had no expiration date. F1 · derivative.expiration_date: Immediately upon the closing of the Issuer's initial public offering, all shares of Series B* Convertible Preferred Stock and Series D Convertible Preferred Stock automatically converted on a 1:1 basis into shares of Class A Common Stock and had no expiration date. F2 · ownership.nature: The shares are held by the Cleveland Family Trust, of which the Reporting Person is trustee. Read SEC document |
| December 11, 2020 Filed Dec 11, 2020 16:12 UTC | C3.ai, Inc. AI · Entity 2413 | ConversionSeries B* Convertible Preferred Stock · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-062922 · doc4.xml · derivative · entry 4 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 25,000 shares Expires not disclosed 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. F1 · derivative.exercise_price: Immediately upon the closing of the Issuer's initial public offering, all shares of Series B* Convertible Preferred Stock and Series D Convertible Preferred Stock automatically converted on a 1:1 basis into shares of Class A Common Stock and had no expiration date. F1 · derivative.exercise_date: Immediately upon the closing of the Issuer's initial public offering, all shares of Series B* Convertible Preferred Stock and Series D Convertible Preferred Stock automatically converted on a 1:1 basis into shares of Class A Common Stock and had no expiration date. F1 · derivative.expiration_date: Immediately upon the closing of the Issuer's initial public offering, all shares of Series B* Convertible Preferred Stock and Series D Convertible Preferred Stock automatically converted on a 1:1 basis into shares of Class A Common Stock and had no expiration date. F2 · ownership.nature: The shares are held by the Cleveland Family Trust, of which the Reporting Person is trustee. Read SEC document |
| December 11, 2020 Filed Dec 11, 2020 16:12 UTC | C3.ai, Inc. AI · Entity 2413 | ConversionClass A Common Stock | 2,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-062922 · doc4.xml · nonDerivative · entry 2 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 27,333 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. F1 · price: Immediately upon the closing of the Issuer's initial public offering, all shares of Series B* Convertible Preferred Stock and Series D Convertible Preferred Stock automatically converted on a 1:1 basis into shares of Class A Common Stock and had no expiration date. F2 · ownership.nature: The shares are held by the Cleveland Family Trust, of which the Reporting Person is trustee. Read SEC document |
| December 11, 2020 Filed Dec 11, 2020 16:12 UTC | C3.ai, Inc. AI · Entity 2413 | ConversionClass A Common Stock | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-062922 · doc4.xml · nonDerivative · entry 1 CLEVELAND BRUCE A · CIK 0001333063 · Senior VP and CMO 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 25,000 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. F1 · price: Immediately upon the closing of the Issuer's initial public offering, all shares of Series B* Convertible Preferred Stock and Series D Convertible Preferred Stock automatically converted on a 1:1 basis into shares of Class A Common Stock and had no expiration date. F2 · ownership.nature: The shares are held by the Cleveland Family Trust, of which the Reporting Person is trustee. 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.