Barter David's Form 4 filing
C3.ai, Inc. (AI) · filed Nov 15, 2021
- Accession no.
- 0001209191-21-064531
- Filed
- Nov 15, 2021
- Trade date
- Nov 12, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $687.1K. It was filed 3 days after the trade.
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 |
|---|---|
| Barter DavidCIK 0001706672 | Officer (Senior VP and CFO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 12, 2021 | Class A Common Stock | MOption exerciseAcquired | +19,444 | $17.10 | +$332,492.4 | 82,443 | Direct | |
| Nov 12, 2021 | Class A Common Stock | SSaleDisposed | −12,479 | $46.10 | −$575,281.9 | 69,964 | Direct | |
| Nov 12, 2021 | Class A Common Stock | SSaleDisposed | −2,365 | $47.27 | −$111,793.55 | 67,599 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 12, 2021 | Class A Common Stock | MOption exerciseDisposed | −19,444 | $0.00 | $0 | 913,891 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.