Changes in Beneficial Ownership · 4
C3.ai, Inc.
AINYSEEQUITYCurrent
Changes in Beneficial Ownership
Structured filing — 4
form4-10022026_101059.xml
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
| Security | Transaction date | Code | Amount | A / D | Price (USD) | Owned after | Ownership | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | 2026-09-30 | G · Form 4 | 239 | A | 0 | 45,822[F1] | I | See Footnote[F2] |
| Class A Common Stock | 2026-09-30 | G · Form 4 | 239 | A | 0 | 59,326[F1] | I | See Footnote[F3] |
| Class A Common Stock | 2026-09-30 | G · Form 4 | 239 | A | 0 | 39,639[F1] | I | See Footnote[F4] |
| Class A Common Stock | 2026-09-30 | G · Form 4 | 239 | A | 0 | 2,552[F1] | I | See Footnote[F5] |
Table key
- G · Form 4
- Bona fide gift
- A
- Acquired
- I
- Indirect
Non-derivative holdings
| Security | Amount owned | Ownership | Nature of ownership |
|---|---|---|---|
| Class A Common Stock | 722,362 | D | |
| Class A Common Stock | 7,105,832[F1] | I | See Footnote[F6] |
| Class A Common Stock | 13,066[F1] | I | See Footnote[F7] |
| Class A Common Stock | 37,327[F1] | I | See Footnote[F8] |
| Class A Common Stock | 54,616[F1] | I | See Footnote[F9] |
| Class A Common Stock | 1,237,115[F10] | I | See Footnote[F11] |
Table key
- D
- Direct
- I
- Indirect
Derivative transactions
| Security | Conversion / exercise price (USD) | Transaction date | Code | Amount | A / D | Price (USD) | Exercisable | Expires | Underlying security | Underlying shares | Owned after | Ownership | Nature of ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common Stock | [F12] | 2026-09-30 | G · Form 4 | 106,793 | A | 0 | [F12] | [F12] | Class A Common Stock | 106,793 | 106,793 | I | See Footnote[F2] |
| Class B Common Stock | [F12] | 2026-09-30 | G · Form 4 | 106,793 | A | 0 | [F12] | [F12] | Class A Common Stock | 106,793 | 106,793 | I | See Footnote[F3] |
| Class B Common Stock | [F12] | 2026-09-30 | G · Form 4 | 106,793 | A | 0 | [F12] | [F12] | Class A Common Stock | 106,793 | 106,793 | I | See Footnote[F4] |
| Class B Common Stock | [F12] | 2026-09-30 | G · Form 4 | 106,793 | A | 0 | [F12] | [F12] | Class A Common Stock | 106,793 | 106,793 | I | See Footnote[F5] |
Table key
- G · Form 4
- Bona fide gift
- A
- Acquired
- I
- Indirect
Derivative holdings
| Security | Conversion / exercise price (USD) | Exercisable | Expires | Underlying security | Underlying shares | Amount owned | Ownership | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class B Common Stock | [F12] | [F12] | [F12] | Class A Common Stock | 2,072,820 | 2,072,820 | I | See Footnote[F6] |
| Class B Common Stock | [F12] | [F12] | [F12] | Class A Common Stock | 500,000 | 500,000 | I | See 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
- 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
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.