Filing Details
- Accession Number:
- 0001209191-21-065994
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-19 21:00:27
- Reporting Period:
- 2021-11-17
- Accepted Time:
- 2021-11-19 21:00:27
- 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 |
|---|---|---|---|---|---|---|---|
| 1542687 | Erica Schultz | C/O Confluent, Inc. 899 W. Evelyn Avenue Mountain View CA 94041 | President, Field Operations | 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 | 2021-11-17 | 50,000 | $0.00 | 50,000 | No | 4 | C | Indirect | See footnote |
| Class A Common Stock | Disposition | 2021-11-17 | 22,798 | $79.86 | 27,202 | No | 4 | S | Indirect | See footnote |
| Class A Common Stock | Disposition | 2021-11-17 | 20,336 | $80.60 | 6,866 | No | 4 | S | Indirect | See footnote |
| Class A Common Stock | Disposition | 2021-11-17 | 6,866 | $81.39 | 0 | No | 4 | S | Indirect | See footnote |
| Class A Common Stock | Acquisiton | 2021-11-19 | 50,000 | $0.00 | 50,000 | No | 4 | C | Indirect | See footnote |
| Class A Common Stock | Disposition | 2021-11-19 | 16,900 | $79.95 | 33,100 | No | 4 | S | Indirect | See footnote |
| Class A Common Stock | Disposition | 2021-11-19 | 4,900 | $80.93 | 28,200 | No | 4 | S | Indirect | See footnote |
| Class A Common Stock | Disposition | 2021-11-19 | 4,000 | $81.94 | 24,200 | No | 4 | S | Indirect | See footnote |
| Class A Common Stock | Disposition | 2021-11-19 | 6,964 | $83.15 | 17,236 | No | 4 | S | Indirect | See footnote |
| Class A Common Stock | Disposition | 2021-11-19 | 13,531 | $84.00 | 3,705 | No | 4 | S | Indirect | See footnote |
| Class A Common Stock | Disposition | 2021-11-19 | 3,705 | $84.75 | 0 | No | 4 | S | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | C | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
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 | 2021-11-17 | 50,000 | $0.00 | 50,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2021-11-19 | 50,000 | $0.00 | 50,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 161,500 | No | 4 | C | Indirect | ||
| 111,500 | No | 4 | C | 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 | 175,000 | 175,000 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 13,500 | 13,500 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 200,000 | 200,000 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 175,000 | 175,000 | Indirect | |
| 13,500 | 13,500 | Indirect | |
| 200,000 | 200,000 | Indirect |
Footnotes
- 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.
- The shares are held by The Bryan and Erica Schultz Family Revocable Trust.
- Shares sold pursuant to 10b5-1 trading plan adopted September 14, 2021.
- The shares were sold at prices ranging from $79.15 to $80.13. 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.
- The shares were sold at prices ranging from $80.16 to $81.15. 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.
- The shares were sold at prices ranging from $81.16 to $81.91. 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.
- The shares were sold at prices ranging from $79.53 to $80.51. 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.
- The shares were sold at prices ranging from $80.53 to $81.50. 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.
- The shares were sold at prices ranging from $81.54 to $82.41. 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.
- The shares were sold at prices ranging from $82.55 to $83.54. 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.
- The shares were sold at prices ranging from $83.55 to $84.53. 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.
- The shares were sold at prices ranging from $84.56 to $85.10. 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.
- The shares are held by The Erica Schultz 2021 Annuity Trust u/a/d 3/25/2021.
- The shares are held by The Ruliffson Schultz Extended Family Trust.
- The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust.
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