Filing Details

Accession Number:
0001209191-21-064376
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-11-12 21:56:54
Reporting Period:
2021-11-11
Accepted Time:
2021-11-12 21:56:54
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1699838 Confluent Inc. CFLT () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1393402 Steffan Tomlinson C/O Confluent, Inc.
899 W. Evelyn Avenue
Mountain View CA 94041
Chief Financial Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2021-11-11 722,600 $0.00 722,600 No 4 C Direct
Class A Common Stock Disposition 2021-11-11 48,741 $87.85 673,859 No 4 S Direct
Class A Common Stock Disposition 2021-11-11 168,839 $88.39 505,020 No 4 S Direct
Class A Common Stock Disposition 2021-11-11 387,878 $89.49 117,142 No 4 S Direct
Class A Common Stock Disposition 2021-11-11 88,258 $90.38 28,884 No 4 S Direct
Class A Common Stock Disposition 2021-11-11 28,884 $91.20 0 No 4 S Direct
Class A Common Stock Acquisiton 2021-11-12 27,400 $0.00 27,400 No 4 C Direct
Class A Common Stock Disposition 2021-11-12 4,387 $88.34 23,013 No 4 S Direct
Class A Common Stock Disposition 2021-11-12 9,456 $89.20 13,557 No 4 S Direct
Class A Common Stock Disposition 2021-11-12 7,157 $89.94 6,400 No 4 S Direct
Class A Common Stock Disposition 2021-11-12 2,000 $91.04 4,400 No 4 S Direct
Class A Common Stock Disposition 2021-11-12 2,600 $92.30 1,800 No 4 S Direct
Class A Common Stock Disposition 2021-11-12 1,600 $93.25 200 No 4 S Direct
Class A Common Stock Disposition 2021-11-12 200 $93.82 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 C Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class B Common Stock Stock Option (Right to Buy) Disposition 2021-11-11 722,600 $0.00 722,600 $6.65
Class A Common Stock Class B Common Stock Acquisiton 2021-11-11 722,600 $0.00 722,600 $0.00
Class A Common Stock Class B Common Stock Disposition 2021-11-11 722,600 $0.00 722,600 $0.00
Class B Common Stock Stock Option (Right to Buy) Disposition 2021-11-12 27,400 $0.00 27,400 $6.65
Class A Common Stock Class B Common Stock Acquisiton 2021-11-12 27,400 $0.00 27,400 $0.00
Class A Common Stock Class B Common Stock Disposition 2021-11-12 27,400 $0.00 27,400 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
2,584,209 2030-08-05 No 4 M Direct
722,600 No 4 M Direct
0 No 4 C Direct
2,556,809 2030-08-05 No 4 M Direct
27,400 No 4 M Direct
0 No 4 C Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock Class B Common Stock $0.00 150,425 150,425 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
150,425 150,425 Indirect
Footnotes
  1. Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock upon the sale or transfer of such share of Class B Common Stock, subject to certain exceptions, and in certain other circumstances described in the Issuer's amended and restated certificate of incorporation. Each share of Class B Common Stock will also be convertible at any time at the option of the Reporting Person into one share of Class A Common Stock.
  2. Shares sold pursuant to a 10b5-1 trading plan.
  3. The shares were sold at prices ranging from $87.03 to $88.02. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  4. The shares were sold at prices ranging from $88.03 to $89.02. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  5. The shares were sold at prices ranging from $89.03 to $90.02. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  6. The shares were sold at prices ranging from $90.03 to $91.02. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  7. The shares were sold at prices ranging from $91.03 to $91.50. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  8. The shares were sold at prices ranging from $87.64 to $88.61. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  9. The shares were sold at prices ranging from $88.64 to $89.63. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  10. The shares were sold at prices ranging from $89.65 to $90.62. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  11. The shares were sold at prices ranging from $90.65 to $91.57. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  12. The shares were sold at prices ranging from $91.67 to $92.65. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  13. The shares were sold at prices ranging from $92.81 to $93.77. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  14. The shares were sold at prices ranging from $93.81 to $93.82. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  15. The shares subject to the option are immediately exercisable. 25% of the shares vested on June 15, 2021 and the remainder vest in 36 equal monthly installments thereafter, subject to Reporting Person's continuous service through each such vesting date.