Statement of Changes in Beneficial Ownership (4)
09 April 2021 - 6:57AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Baker Hughes Holdings LLC |
2. Issuer Name and Ticker or Trading Symbol
C3.ai, Inc.
[
AI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
17021 ALDINE WESTFIELD ROAD, |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/7/2021 |
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(Street)
HOUSTON, TX 77073
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Class A Common Stock | 4/7/2021 | | S | | 466919 | D | $64.6014 (1) | 10346176 (2) | D | |
| Class A Common Stock | 4/8/2021 | | S | | 406512 | D | $63.8443 (3) | 9939664 (2) | 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. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.76 to $67.195, inclusive. Details on the number of shares sold at each separate price will be provided to the staff of the Securities and Exchange Commission upon request. |
| (2) | The reported securities are owned directly by Baker Hughes Holdings LLC ("Holdings"). Holdings is a majority owned indirect subsidiary of Baker Hughes Company ("Baker Hughes") and may be deemed to have beneficial ownership of the Class A Common Stock held directly by Holdings. Baker Hughes disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. |
| (3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.16 to $65.35, inclusive. Details on the number of shares sold at each separate price will be provided to the staff of the Securities and Exchange Commission upon request. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Baker Hughes Holdings LLC
17021 ALDINE WESTFIELD ROAD
HOUSTON, TX 77073 | X | X |
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Baker Hughes Co
17021 ALDINE WESTFIELD ROAD
HOUSTON, TX 77073 | X | X |
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Simonelli Lorenzo
C/O BAKER HUGHES COMPANY
17021 ALDINE WESTFIELD ROAD
HOUSTON, TX 77073 | X | X |
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Signatures
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| /s/ Lee Whitley, as Authorized Signatory for Baker Hughes Holdings LLC | | 4/8/2021 |
| **Signature of Reporting Person | Date |
| /s/ Lee Whitley, as Authorized Signatory for Baker Hughes Company | | 4/8/2021 |
| **Signature of Reporting Person | Date |
| /s/ Lee Whitley, as Attorney-in-Fact for Lorenzo Simonelli | | 4/8/2021 |
| **Signature of Reporting Person | Date |
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