Filing Details

Accession Number:
0001209191-21-064943
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-11-16 21:20:08
Reporting Period:
2021-11-15
Accepted Time:
2021-11-16 21:20:08
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1699838 Confluent Inc. CFLT Services-Prepackaged Software (7372) 471824387
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1868976 Jay Edward Kreps C/O Confluent, Inc.
899 W. Evelyn Avenue
Mountain View CA 94041
Chief Executive Officer Yes Yes Yes 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 2021-11-15 230,000 $0.00 230,000 No 4 C Direct
Class A Common Stock Disposition 2021-11-15 12,685 $79.36 217,315 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 69,040 $80.08 148,275 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 9,119 $80.99 139,156 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 27,126 $82.44 112,030 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 15,346 $83.19 96,684 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 64,947 $84.55 31,737 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 21,923 $85.19 9,814 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 9,714 $86.22 100 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 100 $86.94 0 No 4 S Direct
Class A Common Stock Acquisiton 2021-11-16 2,500 $0.00 2,500 No 4 C Direct
Class A Common Stock Disposition 2021-11-16 2,300 $80.79 200 No 4 S Direct
Class A Common Stock Disposition 2021-11-16 200 $83.33 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 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
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Class B Common Stock Disposition 2021-11-15 230,000 $0.00 230,000 $0.00
Class A Common Stock Class B Common Stock Disposition 2021-11-16 2,500 $0.00 2,500 $0.00
Class A Common Stock Class B Common Stock Disposition 2021-11-16 3,720 $0.00 3,720 $0.00
Class A Common Stock Class B Common Stock Disposition 2021-11-16 3,720 $0.00 3,720 $0.00
Class A Common Stock Class B Common Stock Disposition 2021-11-16 2,480 $0.00 2,480 $0.00
Class A Common Stock Class B Common Stock Disposition 2021-11-16 2,480 $0.00 2,480 $0.00
Class A Common Stock Class B Common Stock Acquisiton 2021-11-16 12,400 $0.00 12,400 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
20,530,000 No 4 C Direct
20,527,500 No 4 C Direct
275,073 No 4 G Indirect
275,073 No 4 G Indirect
183,382 No 4 G Indirect
183,382 No 4 G Indirect
83,090 No 4 G Indirect
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 1,000,000 1,000,000 Indirect
Class A Common Stock Class B Common Stock $0.00 1,000,000 1,000,000 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
1,000,000 1,000,000 Indirect
1,000,000 1,000,000 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 $78.72 to $79.71. 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 $79.72 to $80.68. 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 $80.72 to $81.70. 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 $81.90 to $82.86. 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 $82.90 to $83.89. 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 $83.90 to $84.89. 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 $84.90 to $85.80. 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 $85.91 to $86.73. 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 $80.16 to $81.01. 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 are held by The Parent's 2019 Grantor Retained Annuity Trust - I under agreement dated September 26, 2019.
  13. The shares are held by The Parent's 2019 Grantor Retained Annuity Trust - II under agreement dated September 26, 2019.
  14. The shares are held by The Siblings' 2019 Grantor Retained Annuity Trust - I under agreement dated September 26, 2019.
  15. The shares are held by The Siblings' 2019 Grantor Retained Annuity Trust - II under agreement dated September 26, 2019.
  16. The shares are held by The Edward J. Kreps and Jamaica H. Kreps 2018 Revocable Trust.
  17. The shares are held by the GST Exempt Trust under The Kreps Family 2019 Irrevocable Trust under agreement dated 9/26/2019.