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
- 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.
- Shares sold pursuant to a 10b5-1 trading plan.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- The shares are held by The Parent's 2019 Grantor Retained Annuity Trust - I under agreement dated September 26, 2019.
- The shares are held by The Parent's 2019 Grantor Retained Annuity Trust - II under agreement dated September 26, 2019.
- The shares are held by The Siblings' 2019 Grantor Retained Annuity Trust - I under agreement dated September 26, 2019.
- The shares are held by The Siblings' 2019 Grantor Retained Annuity Trust - II under agreement dated September 26, 2019.
- The shares are held by The Edward J. Kreps and Jamaica H. Kreps 2018 Revocable Trust.
- The shares are held by the GST Exempt Trust under The Kreps Family 2019 Irrevocable Trust under agreement dated 9/26/2019.
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