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person · Reporting owner

LEVIN RICHARD C

Disclosed activity across 2 companies

Tapewire entity
16087
SEC CIK
0001255200

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
AMERICAN EXPRESS COAXP · Entity 2839DirectorMay 07, 2018May 09, 2018
C3.ai, Inc.AI · Entity 2413DirectorOctober 03, 2025October 07, 2025

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.

AMERICAN EXPRESS CO

Report date May 07, 2018 · Filed May 09, 2018

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Share Equivalent UnitsSEC Table II · derivative / convertible securityDirect34,948.79 Reported balance After 2018-05-07 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2018-05-07 · Grant · Acquired 1,931.09 · Balance 34,948.79

F1: Each Share Equivalent Unit reflects the value of one common share.

F2: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director.

F3: The Share Equivalent Units are convertible immediately and have no expiration date.

F4: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors.

Filing footnotes · ownership attribution and instrument terms

F1: Each Share Equivalent Unit reflects the value of one common share.

F2: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director.

F3: The Share Equivalent Units are convertible immediately and have no expiration date.

F4: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors.

C3.ai, Inc.

Report date October 03, 2025 · Filed October 07, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $19.16 · Expires 2035-10-02Direct28,628 Reported balance After 2025-10-03 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2025-10-03 · Grant · Acquired 28,628 · Balance 28,628

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 following October 3, 2025 (the "Vesting Commencement Date") until the two-year anniversary date, 12.5% of the shares subject to the option shall vest on the last day of each 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 second anniversary of the 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 following October 3, 2025 (the "Vesting Commencement Date") until the two-year anniversary date, 12.5% of the shares subject to the option shall vest on the last day of each 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 second anniversary of the Vesting Commencement Date, if the Reporting Person satisfies the attendance requirements in subsequent periods.

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
October 03, 2025 Filed Oct 7, 2025 18:48 UTC C3.ai, Inc. AI · Entity 2413 GrantStock Option (Right to Buy) · Derivative 28,628 $0.00 Strike: $19.16 $0.00
Disclosure

SEC source: 0001255200-25-000004 · form4-10072025_101045.xml · derivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,628

Underlying: Class A Common Stock · 28,628 shares

Expires 2035-10-02

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 following October 3, 2025 (the "Vesting Commencement Date") until the two-year anniversary date, 12.5% of the shares subject to the option shall vest on the last day of each 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 second anniversary of the Vesting Commencement Date, if the Reporting Person satisfies the attendance requirements in subsequent periods.

Read SEC document
June 02, 2025 Filed Jun 2, 2025 19:19 UTC C3.ai, Inc. AI · Entity 2413 Exercise / conversionStock Option (Right to Buy) · Derivative 2,045 $0.00 Strike: $11.16 $0.00
Disclosure

SEC source: 0001415889-25-015292 · form4-06022025_110639.xml · derivative · entry 9

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 98,789

Underlying: Class A Common Stock · 2,045 shares

Expires 2030-08-26

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 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

F4 · 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 August 28, 2020 (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.

F5 · balance_after: Due to rounding in connection with the reverse stock split, the total shares include an additional share that was not originally reported on the Reporting Person's Form 3.

Read SEC document
June 02, 2025 Filed Jun 2, 2025 19:19 UTC C3.ai, Inc. AI · Entity 2413 Exercise / conversionStock Option (Right to Buy) · Derivative 3,955 $0.00 Strike: $4.68 $0.00
Disclosure

SEC source: 0001415889-25-015292 · form4-06022025_110639.xml · derivative · entry 8

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 3,955 shares

Expires 2029-10-18

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 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

F3 · derivative.exercise_date: Fully vested.

Read SEC document
June 02, 2025 Filed Jun 2, 2025 19:19 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 6,000 $26.31 $157,860.00
Disclosure

SEC source: 0001415889-25-015292 · form4-06022025_110639.xml · nonDerivative · entry 6

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 161,664

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

Read SEC document
June 02, 2025 Filed Jun 2, 2025 19:19 UTC C3.ai, Inc. AI · Entity 2413 Exercise / conversionClass A Common Stock 2,045 $11.16 $22,822.20
Disclosure

SEC source: 0001415889-25-015292 · form4-06022025_110639.xml · nonDerivative · entry 5

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 167,664

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 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

Read SEC document
June 02, 2025 Filed Jun 2, 2025 19:19 UTC C3.ai, Inc. AI · Entity 2413 Exercise / conversionClass A Common Stock 3,955 $4.68 $18,509.40
Disclosure

SEC source: 0001415889-25-015292 · form4-06022025_110639.xml · nonDerivative · entry 4

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 165,619

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 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

Read SEC document
May 29, 2025 Filed Jun 2, 2025 19:19 UTC C3.ai, Inc. AI · Entity 2413 Exercise / conversionStock Option (Right to Buy) · Derivative 36,000 $0.00 Strike: $4.68 $0.00
Disclosure

SEC source: 0001415889-25-015292 · form4-06022025_110639.xml · derivative · entry 7

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,955

Underlying: Class A Common Stock · 36,000 shares

Expires 2029-10-18

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 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

F3 · derivative.exercise_date: Fully vested.

Read SEC document
May 29, 2025 Filed Jun 2, 2025 19:19 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 18,000 $30.02 $540,360.00
Disclosure

SEC source: 0001415889-25-015292 · form4-06022025_110639.xml · nonDerivative · entry 3

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 161,664

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $30.00 to $30.06. 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
May 29, 2025 Filed Jun 2, 2025 19:19 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 18,000 $26.32 $473,760.00
Disclosure

SEC source: 0001415889-25-015292 · form4-06022025_110639.xml · nonDerivative · entry 2

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 179,664

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

Read SEC document
May 29, 2025 Filed Jun 2, 2025 19:19 UTC C3.ai, Inc. AI · Entity 2413 Exercise / conversionClass A Common Stock 36,000 $4.68 $168,480.00
Disclosure

SEC source: 0001415889-25-015292 · form4-06022025_110639.xml · nonDerivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 197,664

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 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

Read SEC document
February 03, 2025 Filed Feb 4, 2025 18:43 UTC C3.ai, Inc. AI · Entity 2413 Exercise / conversionStock Option (Right to Buy) · Derivative 12,000 $0.00 Strike: $4.68 $0.00
Disclosure

SEC source: 0001415889-25-003018 · form4-02042025_110212.xml · derivative · entry 3

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 39,955

Underlying: Class A Common Stock · 12,000 shares

Expires 2029-10-18

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 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

F3 · 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 17, 2019 (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
February 03, 2025 Filed Feb 4, 2025 18:43 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 12,000 $29.84 $358,080.00
Disclosure

SEC source: 0001415889-25-003018 · form4-02042025_110212.xml · nonDerivative · entry 2

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 161,664

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $29.68 to $30.00. 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
February 03, 2025 Filed Feb 4, 2025 18:43 UTC C3.ai, Inc. AI · Entity 2413 Exercise / conversionClass A Common Stock 12,000 $4.68 $56,160.00
Disclosure

SEC source: 0001415889-25-003018 · form4-02042025_110212.xml · nonDerivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 173,664

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 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

Read SEC document
January 02, 2025 Filed Jan 3, 2025 19:45 UTC C3.ai, Inc. AI · Entity 2413 Exercise / conversionStock Option (Right to Buy) · Derivative 12,000 $0.00 Strike: $4.68 $0.00
Disclosure

SEC source: 0001415889-25-000664 · form4-01042025_120115.xml · derivative · entry 4

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 51,955

Underlying: Class A Common Stock · 12,000 shares

Expires 2029-10-18

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 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

F4 · 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 17, 2019 (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
January 02, 2025 Filed Jan 3, 2025 19:45 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 1,911 $35.20 $67,267.20
Disclosure

SEC source: 0001415889-25-000664 · form4-01042025_120115.xml · nonDerivative · entry 3

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 161,664

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

F3 · price: Represents weighted average sales price. The shares were sold at prices ranging from $35.14 to $35.38 security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
January 02, 2025 Filed Jan 3, 2025 19:45 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 10,089 $34.72 $350,290.08
Disclosure

SEC source: 0001415889-25-000664 · form4-01042025_120115.xml · nonDerivative · entry 2

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 163,575

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $34.14 to $35.13 security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
January 02, 2025 Filed Jan 3, 2025 19:45 UTC C3.ai, Inc. AI · Entity 2413 Exercise / conversionClass A Common Stock 12,000 $4.68 $56,160.00
Disclosure

SEC source: 0001415889-25-000664 · form4-01042025_120115.xml · nonDerivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 173,664

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 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

Read SEC document
December 09, 2024 Filed Dec 11, 2024 20:15 UTC C3.ai, Inc. AI · Entity 2413 Exercise / conversionStock Option (Right to Buy) · Derivative 72,000 $0.00 Strike: $4.68 $0.00
Disclosure

SEC source: 0001415889-24-029030 · form4-12122024_011224.xml · derivative · entry 3

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 63,955

Underlying: Class A Common Stock · 72,000 shares

Expires 2029-10-18

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 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 28, 2023.

F3 · 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 17, 2019, 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.

F4 · balance_after: Due to rounding in connection with the reverse stock split, the total shares include an additional share that was not originally reported on the Reporting Person's Form 3.

Read SEC document
December 09, 2024 Filed Dec 11, 2024 20:15 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 72,000 $42.00 $3,024,000.00
Disclosure

SEC source: 0001415889-24-029030 · form4-12122024_011224.xml · nonDerivative · entry 2

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 161,664

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 28, 2023.

F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $42.00 to $42.05. 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
December 09, 2024 Filed Dec 11, 2024 20:15 UTC C3.ai, Inc. AI · Entity 2413 Exercise / conversionClass A Common Stock 72,000 $4.68 $336,960.00
Disclosure

SEC source: 0001415889-24-029030 · form4-12122024_011224.xml · nonDerivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 233,664

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 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 28, 2023.

Read SEC document
October 02, 2024 Filed Oct 4, 2024 17:30 UTC C3.ai, Inc. AI · Entity 2413 GrantStock Option (Right to Buy) · Derivative 23,642 $0.00 Strike: $22.89 $0.00
Disclosure

SEC source: 0001415889-24-024787 · form4-10042024_091050.xml · derivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,642

Underlying: Class A Common Stock · 23,642 shares

Expires 2034-10-01

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 2, 2024 (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, if any, equal to 5% of the shares subject to the option shall vest only following the fifth anniversary of the Vesting Commencement Date, if the Reporting Person satisfies the attendance requirements in subsequent periods.

Read SEC document
October 04, 2023 Filed Oct 6, 2023 19:48 UTC C3.ai, Inc. AI · Entity 2413 GrantStock Option (Right to Buy) · Derivative 22,795 $0.00 Strike: $24.11 $0.00
Disclosure

SEC source: 0001209191-23-052381 · doc4.xml · derivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,795

Underlying: Class A Common Stock · 22,795 shares

Expires 2033-10-03

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 4, 2023 (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, if any, equal to 5% of the shares subject to the option shall vest only following the fifth anniversary of the effective grant date, if the Reporting Person satisfies the attendance requirements in subsequent periods.

Read SEC document
July 31, 2023 Filed Aug 2, 2023 18:18 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 12,000 $42.00 $504,000.00
Disclosure

SEC source: 0001209191-23-044290 · doc4.xml · nonDerivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 161,664

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated March 30, 2023.

F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $42.00 to $42.01. 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
July 07, 2023 Filed Jul 11, 2023 17:43 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 12,000 $42.02 $504,240.00
Disclosure

SEC source: 0001209191-23-042027 · doc4.xml · nonDerivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 173,664

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated March 30, 2023.

F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $42.00 to $42.04. 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
May 25, 2023 Filed May 25, 2023 20:19 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 24,000 $30.26 $726,240.00
Disclosure

SEC source: 0001209191-23-032326 · doc4.xml · nonDerivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 185,664

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 21, 2022.

Read SEC document
March 31, 2023 Filed Apr 3, 2023 16:18 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 24,000 $30.04 $720,960.00
Disclosure

SEC source: 0001209191-23-022166 · doc4.xml · nonDerivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 209,664

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 21, 2022.

F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $30.00 to $30.08. 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
February 06, 2023 Filed Feb 7, 2023 16:04 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 24,000 $30.03 $720,720.00
Disclosure

SEC source: 0001209191-23-007489 · doc4.xml · nonDerivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,664

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan.

F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $30.00 to $30.12. 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.

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October 05, 2022 Filed Oct 7, 2022 17:38 UTC C3.ai, Inc. AI · Entity 2413 GrantStock Option (Right to Buy) · Derivative 50,349 $0.00 Strike: $13.49 $0.00
Disclosure

SEC source: 0001209191-22-053144 · doc4.xml · derivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · 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.

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October 06, 2021 Filed Oct 8, 2021 17:53 UTC C3.ai, Inc. AI · Entity 2413 GrantStock Option (Right to Buy) · Derivative 17,166 $0.00 Strike: $44.44 $0.00
Disclosure

SEC source: 0001209191-21-060095 · doc4.xml · derivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · 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.

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June 22, 2021 Filed Jun 22, 2021 18:39 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 10,000 $60.16 $601,600.00
Disclosure

SEC source: 0001209191-21-042519 · doc4.xml · nonDerivative · entry 2

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,664

F1 · price: Represents weighted average sales price. The shares were sold at prices ranging from $60.11 to $60.26. 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.

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June 17, 2021 Filed Jun 22, 2021 18:39 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 9,000 $60.00 $540,000.00
Disclosure

SEC source: 0001209191-21-042519 · doc4.xml · nonDerivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,664

Read SEC document
June 09, 2021 Filed Jun 9, 2021 19:58 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 1,140 $65.00 $74,100.00
Disclosure

SEC source: 0001209191-21-039306 · doc4.xml · nonDerivative · entry 6

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,664

Read SEC document
June 08, 2021 Filed Jun 9, 2021 19:58 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 6,400 $63.00 $403,200.00
Disclosure

SEC source: 0001209191-21-039306 · doc4.xml · nonDerivative · entry 5

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,804

Read SEC document
June 07, 2021 Filed Jun 9, 2021 19:58 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 1,663 $62.23 $103,488.49
Disclosure

SEC source: 0001209191-21-039306 · doc4.xml · nonDerivative · entry 4

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 284,204

F4 · price: Represents weighted average sales price. The shares were sold at prices ranging from $62.08 to $62.505. 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 07, 2021 Filed Jun 9, 2021 19:58 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 15,480 $61.55 $952,794.00
Disclosure

SEC source: 0001209191-21-039306 · doc4.xml · nonDerivative · entry 3

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,867

F3 · price: Represents weighted average sales price. The shares were sold at prices ranging from $61.08 to $62.07. 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 07, 2021 Filed Jun 9, 2021 19:58 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 23,248 $60.68 $1,410,688.64
Disclosure

SEC source: 0001209191-21-039306 · doc4.xml · nonDerivative · entry 2

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,347

F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $60.08 to $61.075. 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 07, 2021 Filed Jun 9, 2021 19:58 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 7,609 $59.77 $454,789.93
Disclosure

SEC source: 0001209191-21-039306 · doc4.xml · nonDerivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,595

F1 · price: Represents weighted average sales price. The shares were sold at prices ranging from $59.055 to $60.05. 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
March 10, 2021 Filed Mar 10, 2021 21:14 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 6,713 $89.00 $597,457.00
Disclosure

SEC source: 0001209191-21-019678 · doc4.xml · nonDerivative · entry 9

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 332,204

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:14 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 2,500 $92.44 $231,100.00
Disclosure

SEC source: 0001209191-21-019678 · doc4.xml · nonDerivative · entry 8

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 338,917

F8 · price: Represents weighted average sales price. The shares were sold at prices ranging from $92.20 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 21:14 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 5,500 $91.65 $504,075.00
Disclosure

SEC source: 0001209191-21-019678 · doc4.xml · nonDerivative · entry 7

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341,417

F7 · price: Represents weighted average sales price. The shares were sold at prices ranging from $91.20 to $92.19. 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 21:14 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 5,700 $90.66 $516,762.00
Disclosure

SEC source: 0001209191-21-019678 · doc4.xml · nonDerivative · entry 6

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 346,917

F6 · price: Represents weighted average sales price. The shares were sold at prices ranging from $90.19 to $91.17. 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 21:14 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 7,900 $89.53 $707,287.00
Disclosure

SEC source: 0001209191-21-019678 · doc4.xml · nonDerivative · entry 5

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 352,617

F5 · price: Represents weighted average sales price. The shares were sold at prices ranging from $89.12 to $90.00. 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 21:14 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 8,200 $88.56 $726,192.00
Disclosure

SEC source: 0001209191-21-019678 · doc4.xml · nonDerivative · entry 4

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 360,517

F4 · price: Represents weighted average sales price. The shares were sold at prices ranging from $88.12 to $89.11. 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 21:14 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 9,061 $87.55 $793,290.55
Disclosure

SEC source: 0001209191-21-019678 · doc4.xml · nonDerivative · entry 3

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,717

F3 · price: Represents weighted average sales price. The shares were sold at prices ranging from $87.05 to $88.06. 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 21:14 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 11,000 $86.50 $951,500.00
Disclosure

SEC source: 0001209191-21-019678 · doc4.xml · nonDerivative · entry 2

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 377,778

F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $86.006 to $87.00. 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 21:14 UTC C3.ai, Inc. AI · Entity 2413 SaleClass A Common Stock 19,400 $85.47 $1,658,118.00
Disclosure

SEC source: 0001209191-21-019678 · doc4.xml · nonDerivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 388,778

F1 · price: Represents weighted average sales price. The shares were sold at prices ranging from $85.00 to $85.995. 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.

Read SEC document
May 07, 2018 Filed May 9, 2018 22:00 UTC AMERICAN EXPRESS CO AXP · Entity 2839 GrantShare Equivalent Units · Derivative 1,931.09 $98.39 $189,999.95
Disclosure

SEC source: 0001127602-18-016809 · form4.xml · derivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,948.79

Underlying: Common Stock · 1,931.09 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Share Equivalent Unit reflects the value of one common share.

F2 · kind: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director.

F3 · derivative.exercise_date: The Share Equivalent Units are convertible immediately and have no expiration date.

F3 · derivative.expiration_date: The Share Equivalent Units are convertible immediately and have no expiration date.

F4 · balance_after: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors.

Read SEC document
May 01, 2017 Filed May 3, 2017 17:45 UTC AMERICAN EXPRESS CO AXP · Entity 2839 GrantShare Equivalent Units · Derivative 2,108.626 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-17-016522 · form4.xml · derivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,522.236

Underlying: Common Stock · 2,108.626 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Share Equivalent Unit reflects the value of one common share.

F2 · kind: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director.

F2 · price: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director.

F3 · derivative.exercise_date: The Share Equivalent Units are convertible immediately and have no expiration date.

F3 · derivative.expiration_date: The Share Equivalent Units are convertible immediately and have no expiration date.

F4 · balance_after: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors.

Read SEC document
May 02, 2016 Filed May 4, 2016 19:20 UTC AMERICAN EXPRESS CO AXP · Entity 2839 GrantShare Equivalent Units · Derivative 2,579.737 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-16-051084 · form4.xml · derivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,895.839

Underlying: Common Stock · 2,579.737 shares

Expires not disclosed

F1 · derivative.exercise_price: The Share Equivalent Units convert into common stock on a one-for-one basis.

F2 · kind: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director.

F2 · price: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director.

F3 · derivative.exercise_date: The Share Equivalent Units are convertible immediately and have no expiration date.

F3 · derivative.expiration_date: The Share Equivalent Units are convertible immediately and have no expiration date.

F4 · balance_after: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors.

Read SEC document
May 11, 2015 Filed May 13, 2015 19:50 UTC AMERICAN EXPRESS CO AXP · Entity 2839 GrantShare Equivalent Units · Derivative 2,119.461 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-15-017100 · form4.xml · derivative · entry 1

LEVIN RICHARD C · CIK 0001255200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,962.269

Underlying: Common Stock · 2,119.461 shares

Expires not disclosed

F1 · derivative.exercise_price: The Share Equivalent Units convert into common stock on a one-for-one basis.

F2 · kind: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director.

F2 · price: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director.

F3 · derivative.exercise_date: The Share Equivalent Units are convertible immediately and have no expiration date.

F3 · derivative.expiration_date: The Share Equivalent Units are convertible immediately and have no expiration date.

F4 · balance_after: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors.

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.