# EDGAR Filing Document

**Accession Number:** 0001577526
**File Stem:** 0001415889-25-015292
**Filing Date:** 2025-6
**Character Count:** 11629
**Document Hash:** 3a28ed855dfd798c31a39b44e2ffcaee
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001415889-25-015292.hdr.sgml**: 20250602

**ACCESSION NUMBER**: 0001415889-25-015292

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20250529

**FILED AS OF DATE**: 20250602

**DATE AS OF CHANGE**: 20250602

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** LEVIN RICHARD C
- **CENTRAL INDEX KEY:** 0001255200

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39744
- **FILM NUMBER:** 251016748

**MAIL ADDRESS:**
- **STREET 1:** C/O C3.AI, INC.
- **STREET 2:** 1400 SEAPORT BLVD
- **CITY:** REDWOOD CITY
- **STATE:** CA
- **ZIP:** 94063
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** C3.ai, Inc.
- **CENTRAL INDEX KEY:** 0001577526
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-PREPACKAGED SOFTWARE [7372]
- **ORGANIZATION NAME:** 06 Technology
- **EIN:** 263999357
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0430

**BUSINESS ADDRESS:**
- **STREET 1:** 1400 SEAPORT BLVD
- **CITY:** REDWOOD CITY
- **STATE:** CA
- **ZIP:** 94063
- **BUSINESS PHONE:** 650-503-2200

**MAIL ADDRESS:**
- **STREET 1:** 1400 SEAPORT BLVD
- **CITY:** REDWOOD CITY
- **STATE:** CA
- **ZIP:** 94063

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** C3 IoT, Inc.
- **DATE OF NAME CHANGE:** 20180123

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** C3, Inc.
- **DATE OF NAME CHANGE:** 20130522

## Ex-24

**POWER OF ATTORNEY**

Know all by these presents that the undersigned hereby constitutes and appoints each of Thomas M. Siebel, Hitesh Lath, and Andrew Thomases of C3.ai, Inc. (the "***Company***"), signing individually, as the undersigned's true and lawful attorneys-in-fact and agents to:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(1) Prepare, execute for and on behalf of the undersigned, and submit to the Securities and Exchange Commission (the "***SEC***"), in the undersigned's name and capacity as an officer, director and/or beneficial owner more than 10% of a registered class of securities of the Company, Forms 3, 4 and 5 (including any amendments thereto and joint filing agreements in connection therewith) in accordance with Section 16 of the Securities Exchange Act of 1934, as amended, and the rules thereunder (the "***Exchange Act***");

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to prepare and execute any such Forms 3, 4 or 5, prepare and execute any amendment or amendments thereto, and joint filing agreements in connection therewith, and file such forms with the SEC and any stock exchange, self-regulatory association or similar authority; and

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(3) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorneyin-fact, may be of benefit to, in the best interest of, or legally required of, the undersigned, it being understood that the documents executed by such attorneyin-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorneyin-fact's discretion.

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, and their substitutes, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Exchange Act.

This Power of Attorney shall remain in full force and effect until the earliest to occur of (a) the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, (b) revocation by the undersigned in a signed writing delivered to the Company and the foregoing attorneys-in-fact or (c) as to any attorney-in-fact individually, until such attorney-in-fact is no longer employed by the Company.

The undersigned has caused this Power of Attorney to be executed as of 4/10/2025

By:<u>/s/ Rick Levin</u>

Name:

<u>Richard C. Levin</u>

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[x] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>LEVIN RICHARD C<br><sub>(Last) (First) (Middle)</sub><br>C/O C3.AI, INC.<br>1400 SEAPORT BLVD<br><sub>(Street)</sub><br>REDWOOD CITY, CA 94063<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-05-29 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>C3.ai, Inc. [ AI ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 2025-05-29 |  | M<sup>(1)</sup> |  | 36000 | A | $4.68 | 197664 | D |  |
| Class A Common Stock | 2025-05-29 |  | S<sup>(1)</sup> |  | 18000 | D | $26.32 | 179664 | D |  |
| Class A Common Stock | 2025-05-29 |  | S<sup>(1)</sup> |  | 18000 | D | 30.02<sup>(2)</sup> | 161664 | D |  |
| Class A Common Stock | 2025-06-02 |  | M<sup>(1)</sup> |  | 3955 | A | $4.68 | 165619 | D |  |
| Class A Common Stock | 2025-06-02 |  | M<sup>(1)</sup> |  | 2045 | A | $11.16 | 167664 | D |  |
| Class A Common Stock | 2025-06-02 |  | S<sup>(1)</sup> |  | 6000 | D | $26.31 | 161664 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option (Right to Buy) | $4.68 | 2025-05-29 |  | M<sup>(1)</sup> |  |  | 36000 | <sup>(3)</sup> | 2029-10-18 | Class A Common Stock | 36000 | $0 | 3955 | D |  |
| Stock Option (Right to Buy) | $4.68 | 2025-06-02 |  | M<sup>(1)</sup> |  |  | 3955 | <sup>(3)</sup> | 2029-10-18 | Class A Common Stock | 3955 | $0 | 0 | D |  |
| Stock Option (Right to Buy) | $11.16 | 2025-06-02 |  | M<sup>(1)</sup> |  |  | 2045 | <sup>(4)</sup> | 2030-08-26 | Class A Common Stock | 2045 | $0 | 98789<sup>(5)</sup> | D |  |

---

### Footnotes:

(1) The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan dated September 29, 2024.

(2) Represents weighted average sales price. The shares were sold at prices ranging from $30.00 to $30.06. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

(3) Fully vested.

(4) Provided the Reporting Person remains a director of the Company and attends in person the regularly scheduled meeting of the Board during each fiscal quarter, commencing on August 28, 2020 (the "Vesting Commencement Date"), then 5% of the shares subject to the option shall vest on the last day of such fiscal quarter (the "Quarterly Shares") during the term of the option, provided, however, if the Reporting Person fails to attend any such regularly scheduled meeting, then vesting for the Quarterly Shares shall not occur and will be suspended (any such suspended Quarterly Shares being referred to collectively as the "Suspended Shares"). For any Suspended Shares, such shares shall vest only following the fifth anniversary of the applicable Vesting Commencement Date, if the Reporting Person satisfies the attendance requirements in subsequent periods.

(5) Due to rounding in connection with the reverse stock split, the total shares include an additional share that was not originally reported on the Reporting Person's Form 3.

**Signature:** /s/ Andrew Thomases, Attorney-in-Fact  
**Date:** 2025-06-02

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**