Ward Jr Stephen M's Form 4 filing
C3.ai, Inc. (AI) · filed Jul 6, 2021
- Accession no.
- 0001209191-21-045395
- Filed
- Jul 6, 2021
- Trade date
- Jun 22-Jul 1, 2021
- Filing delay
- 14 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.26M. It was filed 14 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Ward Jr Stephen MCIK 0001164644 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 22, 2021 | Class A Common Stock | GGiftDisposed | −3,000 | $0.00 | $0 | 487,557 | Direct | |
| Jul 1, 2021 | Class A Common Stock | MOption exerciseAcquired | +12,532 | $2.04 | +$25,565.28 | 500,089 | Direct | |
| Jul 1, 2021 | Class A Common Stock | SSaleDisposed | −6,877 | $62.39F2 | −$429,056.03 | 493,212 | Direct | |
| Jul 1, 2021 | Class A Common Stock | SSaleDisposed | −9,121 | $63.30F3 | −$577,359.3 | 484,091 | Direct | |
| Jul 1, 2021 | Class A Common Stock | SSaleDisposed | −4,002 | $63.91F4 | −$255,767.82 | 480,089 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2021 | Class A Common Stock | MOption exerciseDisposed | −12,532 | $0.00 | $0 | 83,718 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
Represents weighted average sales price. The shares were sold at prices ranging from $61.78 to $62.76. 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.
Referenced by the price of 1 transaction in Table I.
- F3
Represents weighted average sales price. The shares were sold at prices ranging from $62.78 to $63.77. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F4
Represents weighted average sales price. The shares were sold at prices ranging from $63.78 to $64.29. 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.
Referenced by the price of 1 transaction in Table I.