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AI C3 AI Inc

22.8799
0.7199 (3.25%)
27 Apr 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
C3 AI Inc NYSE:AI NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.7199 3.25% 22.8799 22.84 22.085 22.29 4,153,264 00:59:27

Statement of Changes in Beneficial Ownership (4)

01/10/2019 9:44pm

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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Strickler Benjamin J.
2. Issuer Name and Ticker or Trading Symbol

Arlington Asset Investment Corp. [ AI ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
See Remarks
(Last)          (First)          (Middle)

C/O ARLINGTON ASSET INVESTMENT CORP., 6862 ELM STREET, SUITE 320
3. Date of Earliest Transaction (MM/DD/YYYY)

9/28/2019
(Street)

MCLEAN, VA 22101
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock  9/28/2019    F    3417 (1) D $5.45 (2) 23076  D   
Class A Common Stock  9/30/2019    A    17500 (3) A $0.00  40576  D   

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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)  Represents shares withheld by the issuer to satisfy a tax withholding obligation in connection with a vesting, of previously granted restricted shares of the issuer's Class A common stock ("Restricted Stock"), on September 28, 2019.
(2)  Based on the closing price of the issuer's Class A common stock as reported on the New York Stock Exchange on the last trading date preceding the date of vesting.
(3)  Represents 17,500 shares of Restricted Stock pursuant to the Arlington Asset Investment Corp. 2014 Long-Term Incentive Plan.

Remarks:
Vice President, Chief Accounting Officer and Controller

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Strickler Benjamin J.
C/O ARLINGTON ASSET INVESTMENT CORP.
6862 ELM STREET, SUITE 320
MCLEAN, VA 22101


See Remarks

Signatures
/s/ Benjamin J. Strickler 10/1/2019
**Signature of Reporting Person Date


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 control number.

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