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CLEVELAND BRUCE A

Disclosed activity across 1 company

Tapewire entity
135317
SEC CIK
0001333063

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
C3.ai, Inc.AI · Entity 2413Senior VP and CMOSeptember 17, 2021September 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect21,867 Ending reported balance After 2021-09-17 transaction · row 3
3 source rows · reconciled sequence

Row 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 2029-11-12Direct911,767 Reported balance After 2021-09-17 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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-derivativeIndirectSee Footnote241 Reported balance Holding disclosure · report date 2021-09-17 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 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

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.