Filing Details

Accession Number:
0001209191-21-065294
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-11-17 19:29:22
Reporting Period:
2021-11-15
Accepted Time:
2021-11-17 19:29:22
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
1869216 Neha Narkhede C/O Confluent, Inc.
899 W. Evelyn Avenue
Mountain View CA 94041
Yes No 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 Disposition 2021-11-15 230,000 $0.00 230,000 No 4 C Direct
Class A Common Stock Disposition 2021-11-15 10,485 $79.27 219,515 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 69,457 $80.06 150,058 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 11,485 $80.94 138,573 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 26,358 $82.42 112,215 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 15,047 $83.15 97,168 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 61,626 $84.52 35,542 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 25,804 $85.17 9,738 No 4 S Direct
Class A Common Stock Disposition 2021-11-15 9,738 $86.20 0 No 4 S Direct
Class A Common Stock Acquisiton 2021-11-16 86,667 $0.00 86,667 No 4 C Direct
Class A Common Stock Disposition 2021-11-16 6,000 $78.91 80,667 No 4 S Direct
Class A Common Stock Disposition 2021-11-16 22,750 $79.51 57,917 No 4 S Direct
Class A Common Stock Disposition 2021-11-16 24,513 $80.58 33,404 No 4 S Direct
Class A Common Stock Disposition 2021-11-16 26,748 $81.76 6,656 No 4 S Direct
Class A Common Stock Disposition 2021-11-16 6,356 $82.22 300 No 4 S Direct
Class A Common Stock Disposition 2021-11-16 300 $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 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
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 2021-11-15 143,334 $0.00 143,334 $2.24
Class A Common Stock Class B Common Stock Acquisiton 2021-11-15 143,334 $0.00 143,334 $0.00
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 86,667 $0.00 86,667 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,006,768 2028-10-21 No 4 M Direct
1,467,063 No 4 M Direct
1,237,063 No 4 C Direct
1,150,396 No 4 C Direct
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 10b5-1 trading plan adopted September 15, 2021.
  3. The shares were sold at prices ranging from $78.62 to $79.61. The reporting person will provide to the SEC, the issuer or security holder of theissuer, 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 $79.64 to $80.63. 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.
  5. The shares were sold at prices ranging from $80.64 to $81.57. 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.
  6. The shares were sold at prices ranging from $81.86 to $82.85. 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 $82.87 to $83.85. 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 $83.88 to $84.87. 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 $84.88 to $85.79. 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 $85.89 to $86.85. 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 $78.05 to $79.04. 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 $79.05 to $80.04. 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 $80.05 to $81.03. 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 $81.11 to $82.10. 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 were sold at prices ranging from $82.11 to $82.36. 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.
  16. The shares subject to the option are immediately exercisable and vest in 48 equal monthly installments with a vesting commencement date of October 1, 2018, subject to Reporting Person's continuous service through each such vesting date.