Filing Details

Accession Number:
0001209191-23-057398
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-12-05 16:15:39
Reporting Period:
2023-12-01
Accepted Time:
2023-12-05 16:15:39
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 2023-12-01 75,000 $0.00 554,537 No 4 C Direct
Class A Common Stock Disposition 2023-12-01 4,100 $21.40 550,437 No 4 S Direct
Class A Common Stock Disposition 2023-12-01 69,100 $22.59 481,337 No 4 S Direct
Class A Common Stock Disposition 2023-12-01 1,800 $22.93 479,537 No 4 S Direct
Class A Common Stock Acquisiton 2023-12-04 75,000 $0.00 554,537 No 4 C Direct
Class A Common Stock Disposition 2023-12-04 17,500 $23.46 537,037 No 4 S Direct
Class A Common Stock Disposition 2023-12-04 57,500 $23.92 479,537 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 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 B Common Stock Stock Option (Right to Buy) Disposition 2023-12-01 75,000 $0.00 75,000 $3.41
Class A Common Stock Class B Common Stock Acquisiton 2023-12-01 75,000 $0.00 75,000 $0.00
Class A Common Stock Class B Common Stock Disposition 2023-12-01 75,000 $0.00 75,000 $0.00
Class B Common Stock Stock Option (Right to Buy) Disposition 2023-12-04 75,000 $0.00 75,000 $3.41
Class A Common Stock Class B Common Stock Acquisiton 2023-12-04 75,000 $0.00 75,000 $0.00
Class A Common Stock Class B Common Stock Disposition 2023-12-04 75,000 $0.00 75,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
2,004,675 2029-12-04 No 4 M Direct
75,000 No 4 M Direct
0 No 4 C Direct
1,929,675 2029-12-04 No 4 M Direct
75,000 No 4 M Direct
0 No 4 C Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 40,487 Indirect See footnote
Class A Common Stock 11,500 Indirect See footnote
Class A Common Stock 55,422 Indirect See footnote
Class A Common Stock 79,091 Indirect See footnote
Class A Common Stock 13,500 Indirect See footnote
Class A Common Stock 200,000 Indirect See footnote
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 dated August 19, 2023.
  3. The shares were sold at prices ranging from $20.87 to $21.81. 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 $21.90 to $22.89. 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.
  5. The shares were sold at prices ranging from $22.90 to $22.95. 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 $22.66 to $23.65. 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.
  7. The shares were sold at prices ranging from $23.66 to $24.17. 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 are held by The Schultz Family Irrevocable Remainder Trust.
  9. The shares are held by The Bryan and Erica Schultz Family Revocable Trust.
  10. The shares are held by the Erica Schultz 2022 Annuity Trust.
  11. The shares are held by the Erica Schultz 2023 Annuity Trust.
  12. The shares are held by The Ruliffson Schultz Extended Family Trust.
  13. The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust.
  14. The shares subject to the option are immediately exercisable. 25% of the shares vested on 10/28/2020 and the remainder vest in 36 equal monthly installments thereafter, subject to Reporting Person's continuous service through each such vesting date.