C3ai, Inc. (AI)

Sector:
INFORMATION TECHNOLOGY
Industry:
SOFTWARE
SIC:
SERVICES-PREPACKAGED SOFTWARE
CEO:
Thomas M. Siebel
Employees:
482
1300 SEAPORT BLVD, SUITE 500, REDWOOD CITY, CA 94063
650-503-2218

C3.ai is an Enterprise AI software company. We provide software-as-a-service, or SaaS, applications that enable the rapid deployment of enterprise-scale AI applications of extraordinary scale and complexity that offer significant social and economic benefit.

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Funds Holding AI (via 13F filings)

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*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding AI BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

23.1 Thousand total shares from 4 transactions

Exercise Derivative Conversion (M)

130.8 Thousand total shares from 9 transactions

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

ABBO EDWARD Y CHIEF TECHNOLOGY OFFICER

  • Officer
806,119 2021-12-23 11

BEHZADI HOUMAN CHIEF PRODUCT OFFICER

  • Officer
300,000 2021-12-23 13

PARKKINEN JUHO CHIEF ACCOUNTING OFFICER

  • Officer
50,000 2021-12-23 2

DAVIS LISA ANN

  • Director
59,984 2021-12-21 3

HOUSE PATRICIA A

  • Director
481,879 2021-12-20 6

MANZOOR ADEEL CHIEF FINANCIAL OFFICER

  • Officer
450,000 2021-12-20 2

SIEBEL THOMAS M CHIEF EXECUTIVE OFFICER

  • Officer
  • Director
  • 10% Owner
5,253,214 2021-11-15 11

BARTER DAVID SENIOR VP AND CFO

  • Officer
981,490 2021-11-12 2

LUTTON RICHARD J. JR. SENIOR VP AND GENERAL COUNSEL

  • Officer
500,000 2021-10-15 2

WARD JR STEPHEN M

  • Director
18,147 2021-10-06 4

LEVIN RICHARD C

  • Director
17,166 2021-10-06 4

MCCAFFERY MICHAEL G

  • Director
20,354 2021-10-06 2

SEWELL D BRUCE

  • Director
18,147 2021-10-06 2

RICE CONDOLEEZZA

  • Director
17,166 2021-10-06 3

SASTRY SHANKAR

  • Director
17,166 2021-10-06 2

SNABE JIM H.

  • Director
17,166 2021-10-06 3

CLEVELAND BRUCE A SENIOR VP AND CMO

  • Officer
933,875 2021-09-17 4

SIEBEL LIVING TRUST U/A/D 7/27/93, AS AMENDED

  • FORMER 10% HOLDER
5,891,272 2021-07-13 1

MICKELSEN BRADY SENIOR VP AND GENERAL COUNSEL

  • Officer
259,777 2021-06-23 2

SIEBEL THOMAS M CHIEF EXECUTIVE OFFICER

SIEBEL LIVING TRUST U/A/D 7/27/93, AS AMENDED

  • Officer
  • Director
  • 10% Owner
9,804,273 2021-06-14 11

TPG GROUP HOLDINGS (SBS) ADVISORS, INC.

BONDERMAN DAVID

COULTER JAMES G

  • FORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNER
No longer subject to file 2021-06-08 6

BAKER HUGHES HOLDINGS LLC

BAKER HUGHES CO

SIMONELLI LORENZO

  • Director
  • 10% Owner
9,580,476 2021-04-22 3

TONKEL J ROCK JR PRESIDENT AND CEO

  • Officer
  • Director
568,326 2020-09-24 0

KONZMANN RICHARD ERNST EVP, CFO AND TREASURER

  • Officer
104,995 2020-09-24 0

BILLINGS ERIC F EXECUTIVE CHAIRMAN

  • Officer
  • Director
242,759 2018-10-03 0

MICHAEL RALPH S III

  • Director
56,673 2017-10-30 0

BERCE DANIEL E

  • Director
15,000 2016-02-10 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

ABBO EDWARD Y - Officer CHIEF TECHNOLOGY OFFICER

2021-12-28 18:01:38 -0500 2021-12-23 M 13,238 $2.82 a 168,790 direct 3.5601 -6.7705 3.5601 2 -6.7705 6

ABBO EDWARD Y - Officer CHIEF TECHNOLOGY OFFICER

2021-12-28 18:01:38 -0500 2021-12-23 A 300,000 a 300,000 direct

ABBO EDWARD Y - Officer CHIEF TECHNOLOGY OFFICER

2021-12-28 18:01:38 -0500 2021-12-23 M 21,929 d 144,738 direct

ABBO EDWARD Y - Officer CHIEF TECHNOLOGY OFFICER

2021-12-28 18:01:38 -0500 2021-12-23 M 21,929 $4.56 a 212,648 direct 3.5601 -6.7705 3.5601 2 -6.7705 6

ABBO EDWARD Y - Officer CHIEF TECHNOLOGY OFFICER

2021-12-28 18:01:38 -0500 2021-12-23 M 21,929 d 144,738 direct

PARKKINEN JUHO - Officer CHIEF ACCOUNTING OFFICER

2021-12-28 18:02:22 -0500 2021-12-23 A 50,000 a 50,000 direct

ABBO EDWARD Y - Officer CHIEF TECHNOLOGY OFFICER

2021-12-28 18:01:38 -0500 2021-12-23 M 21,929 $4.56 a 190,719 direct 3.5601 -6.7705 3.5601 2 -6.7705 6

ABBO EDWARD Y - Officer CHIEF TECHNOLOGY OFFICER

2021-12-28 18:01:38 -0500 2021-12-23 M 13,238 d 47,874 direct

BEHZADI HOUMAN - Officer CHIEF PRODUCT OFFICER

2021-12-28 18:03:06 -0500 2021-12-23 A 300,000 a 300,000 direct

DAVIS LISA ANN - Director

2021-12-23 20:29:16 -0500 2021-12-21 A 59,984 a 59,984 direct

MANZOOR ADEEL - Officer CHIEF FINANCIAL OFFICER

2021-12-22 17:40:20 -0500 2021-12-21 A 270,000 a 270,000 direct

HOUSE PATRICIA A - Director

2021-12-22 17:39:28 -0500 2021-12-20 M 3,518 d 35,166 direct

MANZOOR ADEEL - Officer CHIEF FINANCIAL OFFICER

2021-12-22 17:40:20 -0500 2021-12-20 A 180,000 a 180,000 direct -3.0657 -8.7591 0.0 1 -8.7591 6

HOUSE PATRICIA A - Director

2021-12-22 17:39:28 -0500 2021-12-20 M 6,250 $1.86 a 51,647 direct -3.0657 -8.7591 0.0 1 -8.7591 6

HOUSE PATRICIA A - Director

2021-12-22 17:39:28 -0500 2021-12-20 M 37,836 $11.16 a 96,211 direct -3.0657 -8.7591 0.0 1 -8.7591 6

HOUSE PATRICIA A - Director

2021-12-22 17:39:28 -0500 2021-12-20 M 3,210 d 19,249 direct

HOUSE PATRICIA A - Director

2021-12-22 17:39:28 -0500 2021-12-20 M 1,667 $1.68 a 45,397 direct -3.0657 -8.7591 0.0 1 -8.7591 6

HOUSE PATRICIA A - Director

2021-12-22 17:39:28 -0500 2021-12-20 M 3,518 $3.90 a 58,375 direct -3.0657 -8.7591 0.0 1 -8.7591 6

HOUSE PATRICIA A - Director

2021-12-22 17:39:28 -0500 2021-12-20 M 6,250 d 0 direct

HOUSE PATRICIA A - Director

2021-12-22 17:39:28 -0500 2021-12-20 M 37,836 d 113,498 direct

HOUSE PATRICIA A - Director

2021-12-22 17:39:28 -0500 2021-12-20 M 3,210 $2.04 a 54,857 direct -3.0657 -8.7591 0.0 1 -8.7591 6

HOUSE PATRICIA A - Director

2021-12-22 17:39:28 -0500 2021-12-20 M 1,667 d 0 direct

ABBO EDWARD Y - Officer CHIEF TECHNOLOGY OFFICER

2021-11-22 17:44:51 -0500 2021-11-18 M 21,266 $1.56 a 82,553 direct yes 2.0118 -9.2543 -20.574 2.9506 3 -21.3251 30

ABBO EDWARD Y - Officer CHIEF TECHNOLOGY OFFICER

2021-11-22 17:44:51 -0500 2021-11-18 S 5,732 $44.61 d 61,332 direct yes 2.0118 -9.2543 -20.574 2.9506 3 -21.3251 30

ABBO EDWARD Y - Officer CHIEF TECHNOLOGY OFFICER

2021-11-22 17:44:51 -0500 2021-11-18 S 3,856 $43.26 d 67,064 direct yes 2.0118 -9.2543 -20.574 2.9506 3 -21.3251 30

ABBO EDWARD Y - Officer CHIEF TECHNOLOGY OFFICER

2021-11-22 17:44:51 -0500 2021-11-18 M 21,266 d 179,191 direct yes

ABBO EDWARD Y - Officer CHIEF TECHNOLOGY OFFICER

2021-11-22 17:44:51 -0500 2021-11-18 S 11,633 $42.57 d 70,920 direct yes 2.0118 -9.2543 -20.574 2.9506 3 -21.3251 30

ABBO EDWARD Y - Officer CHIEF TECHNOLOGY OFFICER

2021-11-22 17:44:51 -0500 2021-11-18 S 1,917 $45.56 d 59,415 direct yes 2.0118 -9.2543 -20.574 2.9506 3 -21.3251 30

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
C3.AI INC-A AI 2022-01-17 20:45:03 UTC -0.3978 0.4678 4100000
C3.AI INC-A AI 2022-01-17 20:15:04 UTC -0.3978 0.4678 4100000
C3.AI INC-A AI 2022-01-17 19:45:03 UTC -0.3978 0.4678 4100000
C3.AI INC-A AI 2022-01-17 19:15:03 UTC -0.3978 0.4678 4100000
C3.AI INC-A AI 2022-01-17 18:45:03 UTC -0.3978 0.4678 4100000
C3.AI INC-A AI 2022-01-17 18:15:03 UTC -0.3978 0.4678 4100000
C3.AI INC-A AI 2022-01-17 17:45:03 UTC -0.3978 0.4678 4100000
C3.AI INC-A AI 2022-01-17 17:15:03 UTC -0.3978 0.4678 4100000
C3.AI INC-A AI 2022-01-17 16:45:03 UTC -0.3978 0.4678 4100000
C3.AI INC-A AI 2022-01-17 16:15:04 UTC -0.3978 0.4678 4100000
C3.AI INC-A AI 2022-01-17 15:45:03 UTC -0.3978 0.4678 4100000
C3.AI INC-A AI 2022-01-17 15:15:03 UTC -0.3978 0.4678 4100000
C3.AI INC-A AI 2022-01-17 14:45:03 UTC -0.4237 0.4937 4100000
C3.AI INC-A AI 2022-01-17 14:15:03 UTC -0.4237 0.4937 4100000
C3.AI INC-A AI 2022-01-17 13:45:03 UTC -0.4237 0.4937 4100000
C3.AI INC-A AI 2022-01-17 13:15:03 UTC -0.4237 0.4937 4100000
C3.AI INC-A AI 2022-01-17 12:45:03 UTC -0.4237 0.4937 4100000
C3.AI INC-A AI 2022-01-14 22:15:03 UTC -0.4237 0.4937 4100000
C3.AI INC-A AI 2022-01-14 21:45:03 UTC -0.4237 0.4937 4100000
C3.AI INC-A AI 2022-01-14 21:15:03 UTC -0.4237 0.4937 4100000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin
Federated Hermes Adviser Series- Federated Hermes MDT Market Neutral Fund AI -4113.0 shares, $-190596.42 2021-09-30 N-PORT
INVESTMENT MANAGERS SERIES TRUST- 361 Domestic Long/Short Equity Fund AI -1098.0 shares, $-49541.76 2021-10-31 N-PORT

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