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Changes in Beneficial Ownership · 4

C3.ai, Inc.

AINYSEEQUITYCurrent

Changes in Beneficial Ownership

Filed Oct 2, 2026Accepted Oct 2, 2026, 6:27 PM EDTFiling CIK 1577526Accession 0001031530-26-000011
Share

Structured filing — 4

form4-10022026_101059.xml

Open full document ↗

Filing details

Report period
2026-09-30
Issuer
C3.ai, Inc.
Issuer CIK
0001577526
Trading symbol
AI

Reporting owner 1

Name
SIEBEL THOMAS M
Reporting owner CIK
0001031530
Relationship
Director · Officer · 10% owner
Officer title
CEO and Chairman of the Board
Address
C/O C3.AI, INC., 1400 SEAPORT BLVD, REDWOOD CITY, CA, 94603

Non-derivative transactions

Non-derivative transactions · 4 reported rows
SecurityTransaction dateCodeAmountA / DPrice (USD)Owned afterOwnershipNature of ownership
Class A Common Stock2026-09-30G · Form 4239A045,822[F1]ISee Footnote[F2]
Class A Common Stock2026-09-30G · Form 4239A059,326[F1]ISee Footnote[F3]
Class A Common Stock2026-09-30G · Form 4239A039,639[F1]ISee Footnote[F4]
Class A Common Stock2026-09-30G · Form 4239A02,552[F1]ISee Footnote[F5]
Table key
G · Form 4
Bona fide gift
A
Acquired
I
Indirect

Non-derivative holdings

Non-derivative holdings · 6 reported rows
SecurityAmount ownedOwnershipNature of ownership
Class A Common Stock722,362D
Class A Common Stock7,105,832[F1]ISee Footnote[F6]
Class A Common Stock13,066[F1]ISee Footnote[F7]
Class A Common Stock37,327[F1]ISee Footnote[F8]
Class A Common Stock54,616[F1]ISee Footnote[F9]
Class A Common Stock1,237,115[F10]ISee Footnote[F11]
Table key
D
Direct
I
Indirect

Derivative transactions

Derivative transactions · 4 reported rows
SecurityConversion / exercise price (USD)Transaction dateCodeAmountA / DPrice (USD)ExercisableExpiresUnderlying securityUnderlying sharesOwned afterOwnershipNature of ownership
Class B Common Stock[F12]2026-09-30G · Form 4106,793A0[F12][F12]Class A Common Stock106,793106,793ISee Footnote[F2]
Class B Common Stock[F12]2026-09-30G · Form 4106,793A0[F12][F12]Class A Common Stock106,793106,793ISee Footnote[F3]
Class B Common Stock[F12]2026-09-30G · Form 4106,793A0[F12][F12]Class A Common Stock106,793106,793ISee Footnote[F4]
Class B Common Stock[F12]2026-09-30G · Form 4106,793A0[F12][F12]Class A Common Stock106,793106,793ISee Footnote[F5]
Table key
G · Form 4
Bona fide gift
A
Acquired
I
Indirect

Derivative holdings

Derivative holdings · 2 reported rows
SecurityConversion / exercise price (USD)ExercisableExpiresUnderlying securityUnderlying sharesAmount ownedOwnershipNature of ownership
Class B Common Stock[F12][F12][F12]Class A Common Stock2,072,8202,072,820ISee Footnote[F6]
Class B Common Stock[F12][F12][F12]Class A Common Stock500,000500,000ISee Footnote[F7]
Table key
I
Indirect

Footnotes

F1
Includes shares of Class A Common Stock received in pro-rata distributions of all 170,294 and 72,695 shares of Class A Common Stock held by Siebel Asset Management L.P. and Siebel Asset Management III, L.P., respectively, to their partners in transactions that constituted a change in beneficial ownership exempt under Rule 16a-13.↩ 1↩ 2↩ 3↩ 4↩ 5↩ 6↩ 7↩ 8
F2
The shares are held by RS DE Investments LLC, of which the Reporting Person is the manager.↩ 1↩ 2
F3
The shares are held by CS DE Investments LLC, of which the Reporting Person is the manager.↩ 1↩ 2
F4
The shares are held by TS DE Investments LLC, of which the Reporting Person is the manager.↩ 1↩ 2
F5
The shares are held by HS DE Investments LLC, of which the Reporting Person is the manager.↩ 1↩ 2
F6
The shares are held by The Siebel Living Trust u/a/d 7/27/93, as amended, of which the Reporting Person is trustee.↩ 1↩ 2
F7
The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is trustee.↩ 1↩ 2
F8
The shares are held by HS ET DE Investments LLC, of which the Reporting Person is the manager.↩ 1
F9
The shares are held by Siebel Legacy Investments I LLC, of which the Reporting Person is the manager.↩ 1
F10
Represents shares of Class A Common Stock transferred from The Siebel 2011 Irrevocable Children's Trust in a transaction that constituted a change in beneficial ownership exempt under Rule 16a-13.↩ 1
F11
The shares are held by Siebel Legacy Investments II LLC, of which the Reporting Person is the manager.↩ 1
F12
Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock.↩ 1↩ 2↩ 3↩ 4↩ 5↩ 6↩ 7↩ 8↩ 9↩ 10↩ 11↩ 12↩ 13↩ 14↩ 15↩ 16↩ 17↩ 18

Signature 1

Signed
/s/ Tom MacMitchell, Attorney-in-Fact
Date
2026-10-02

Company context

C3.ai, Inc. (NYSE:AI) is the Enterprise AI application software company. C3 AI delivers a family of fully integrated products including the C3 Agentic AI Platform, an end-to-end platform for developing, deploying, and operating enterprise AI applications, C3 AI applications, a portfolio of industry-specific SaaS enterprise AI applications that enable the digital transformation of organizations globally, and C3 Generative AI, a suite of domain-specific generative AI offerings for the enterprise.

Current securities

Recent company filings

  1. 4 filingSep 17, 2026
  2. 4 filingSep 15, 2026
  3. 10-Q filingSep 9, 2026
  4. 4 filingSep 3, 2026
  5. Results of Operations and Financial ConditionSep 2, 2026

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