C3ai Inc
For the period ended Oct 31, 2024. Filed Dec 10, 2024.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Oct 31, 2024 · Filed Dec 10, 2024
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 5. Other Information
Trading Arrangements
During our last fiscal quarter, our directors and officers (as defined in Rule 16a-1(f) under the Exchange Act)adopted orterminated the contracts, instructions or written plans for the purchase or sale of our securities set forth in the table below.
| Name and Position · Action · Date · Rule 10b5-1* · Non-Rule 10b5-1** · Total Shares of Class A Common Stock to be Sold · Total Shares of Class A Common Stock to be Purchased · Expiration Date | ||||||||
|---|---|---|---|---|---|---|---|---|
| Thomas M. Siebel***Chairman and Chief Executive Officer | Adoption | September 20, 2024 | X | 12,783,602 | — | December 17, 2026 | ||
| Hitesh LathSenior Vice President and Chief Financial Officer | Adoption | September 27, 2024 | X | 39,963 | — | June 30, 2025 | ||
| Merel WitteveenSenior Vice President, Operations | Adoption | September 27, 2024 | X | 71,437 | — | June 30, 2025 | ||
| Stephen M. Ward Jr.Director | Adoption | September 27, 2024 | X | 150,000 | — | June 30, 2025 | ||
| Richard C. LevinDirector | Adoption | September 29, 2024 | X | 72,000 | — | June 30, 2025 | ||
- Contract, instruction or written plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
** “Non-Rule 10b5-1 trading arrangement” as defined in Item 408(c) of Regulation S-K under the Exchange Act.
*** Under the terms of this plan, which commences in January 2025, the maximum number of shares that Mr. Siebel may sell in any month is approximately 2% of the then fully-diluted equity of the Company held by him and his affiliates. As a result, after each sale, approximately 98% of his fully-diluted equity holdings will remain.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.