Initial Statement of Beneficial Ownership (3)
December 13 2021 - 5:32PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Parkkinen Juho |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/3/2021
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3. Issuer Name and Ticker or Trading Symbol
C3.ai, Inc. [AI]
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(Last)
(First)
(Middle)
C/O C3.AI, INC., 1300 SEAPORT BLVD, SUITE 500 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Accounting Officer / |
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(Street)
REDWOOD CITY, CA 94063
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Class A Common Stock | 60000 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (Right to Buy) | (2) | 9/2/2031 | Class A Common Stock | 50000 | $50.61 | D | |
| Explanation of Responses: |
| (1) | Represents awards in the aggregate of 60,000 restricted stock units subject to time-based vesting conditions in accordance with the underlying award. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. |
| (2) | Twenty percent (20%) of the shares subject to the option grant vested on August 15, 2022, 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. |
Remarks:
Exhibit List
Exhibit 24 - Power of Attorney |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Parkkinen Juho
C/O C3.AI, INC.
1300 SEAPORT BLVD, SUITE 500
REDWOOD CITY, CA 94063 |
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| Chief Accounting Officer |
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Signatures
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| /s/ Richard J. Lutton,Jr., Attorney-in-Fact | | 12/13/2021 |
| **Signature of Reporting Person | Date |
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