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Filing Details

Accession Number:: 0001104659-21-140209
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-11-16 21:40:54
Reporting Period:: 2021-11-12

Accepted Time:: 2021-11-16 21:40:54
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1699838	Confluent Inc.	CFLT	Services-Prepackaged Software (7372)	DE

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1091435	Mitchell Lasky	2965 Woodside Road Woodside CA 94062	No	No	Yes	No
1190191	William J Gurley	2965 Woodside Road Woodside CA 94062	No	No	Yes	No
1190193	M Steven Spurlock	2965 Woodside Road Woodside CA 94062	No	No	Yes	No
1219230	H Peter Fenton	2965 Woodside Road Woodside CA 94062	No	No	Yes	No
1572685	Matt Cohler	2965 Woodside Road Woodside CA 94062	No	No	Yes	No
1695859	Chetan Puttagunta	2965 Woodside Road Woodside CA 94062	No	No	Yes	No
1774645	E Sarah Tavel	2965 Woodside Road Woodside CA 94062	No	No	Yes	No
1825956	An-Yen Hu	2965 Woodside Road Woodside CA 94062	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2021-11-12	3,862,593	$0.00	3,862,593	No	4	C	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-12	3,862,593	$0.00	0	No	4	J	Indirect	See footnote
Class A Common Stock	Acquisiton	2021-11-12	22,638	$0.00	452,472	No	4	J	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	87	$82.23	452,385	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	174	$83.46	452,211	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	2,282	$84.55	449,929	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	1,217	$85.24	448,712	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	491	$86.29	448,221	No	4	S	Indirect	See footnote
Class A Common Stock	Acquisiton	2021-11-12	90,484	$0.00	1,509,420	No	4	J	Indirect	See footnote
Class A Common Stock	Acquisiton	2021-11-12	36,300	$0.00	1,201,394	No	4	J	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	178	$82.23	1,201,216	No	4	S	Indirect	See footnote(10
Class A Common Stock	Disposition	2021-11-15	358	$83.46	1,200,858	No	4	S	Indirect	See footnote(10
Class A Common Stock	Disposition	2021-11-15	4,679	$84.55	1,196,179	No	4	S	Indirect	See footnote(10
Class A Common Stock	Disposition	2021-11-15	2,495	$85.24	1,193,684	No	4	S	Indirect	See footnote(10
Class A Common Stock	Disposition	2021-11-15	1,007	$86.29	1,192,677	No	4	S	Indirect	See footnote(10
Class A Common Stock	Acquisiton	2021-11-12	10,347	$0.00	10,347	No	4	J	Indirect	See footnote
Class A Common Stock	Acquisiton	2021-11-12	47,549	$0.00	1,466,486	No	4	J	Indirect	See footnote
Class A Common Stock	Acquisiton	2021-11-12	20,694	$0.00	20,694	No	4	J	Indirect	See footnote
Class A Common Stock	Acquisiton	2021-11-12	37,201	$0.00	1,456,137	No	4	J	Indirect	See footnote
Class A Common Stock	Acquisiton	2021-11-12	4,397	$0.00	960,063	No	4	J	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	193	$82.23	959,870	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	388	$83.46	959,482	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	5,074	$84.55	954,408	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	2,705	$85.24	951,703	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	1,092	$86.29	950,611	No	4	S	Indirect	See footnote
Class A Common Stock	Acquisiton	2021-11-12	42	$0.00	11,952	No	4	J	Indirect	See footnote
Class A Common Stock	Acquisiton	2021-11-12	48	$0.00	2,125	No	4	J	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	43	$82.23	2,082	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	87	$83.46	1,995	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2021-11-15	1,141	$84.55	854	No	4	S	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	J	Indirect	See footnote
No	4	J	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	J	Indirect	See footnote
No	4	J	Indirect	See footnote
No	4	S	Indirect	See footnote(10
No	4	S	Indirect	See footnote(10
No	4	S	Indirect	See footnote(10
No	4	S	Indirect	See footnote(10
No	4	S	Indirect	See footnote(10
No	4	J	Indirect	See footnote
No	4	J	Indirect	See footnote
No	4	J	Indirect	See footnote
No	4	J	Indirect	See footnote
No	4	J	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	J	Indirect	See footnote
No	4	J	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock	Class B Common Stock	Disposition	2021-11-12	3,862,593	$0.00	3,862,593	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
21,886,032			No	4	C	Indirect

Footnotes

Shares are held by Benchmark Capital Partners VIII, L.P. ("BCP VIII"), for itself and as nominee for Benchmark Founders' Fund VIII, L.P. ("BFF VIII") and Benchmark Founders' Fund VIII-B, L.P. ("BFF VIII-B"). Benchmark Capital Management Co. VIII, L.L.C. ("BCMC VIII"), the general partner of each of BCP VIII, BFF VIII and BFF VIII-B, may be deemed to have sole voting and investment power over such shares. Eric Vishria, a member of the Issuer's board of directors, Matthew R. Cohler, Peter H. Fenton, J. William Gurley, An-Yen Hu, Mitchell H. Lasky, Chetan Puttagunta, Steven M. Spurlock and Sarah E. Tavel are the managing members of BCMC VIII, and each of them may be deemed to share voting and investment power over the securities held by such entities. Each such person and entity disclaims the existence of a "group" and disclaims beneficial ownership of the securities, except to the extent of such person's or entity's pecuniary interest in such securities.
Represents a pro-rata, in-kind distribution by BCP VIII and its affiliated funds, not for additional consideration, to its partners, including BCMC VIII and its respective members and assignees.
Shares are held by Steven M. Spurlock's family partnership.
Represents the weighted-average sale price per share of a series of transactions, all of which were executed on November 15, 2021. The actual sale prices ranged from a low of $81.86 to a high of $82.76, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Confluent, Inc. or any security holder of Confluent, Inc. full information regarding the number of shares sold at each price within the range. The amount reflected has been rounded to 4 decimal points.
Represents the weighted-average sale price per share of a series of transactions, all of which were executed on November 15, 2021. The actual sale prices ranged from a low of $82.93 to a high of $83.86, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Confluent, Inc. or any security holder of Confluent, Inc. full information regarding the number of shares sold at each price within the range. The amount reflected has been rounded to 4 decimal points.
Represents the weighted-average sale price per share of a series of transactions, all of which were executed on November 15, 2021. The actual sale prices ranged from a low of $83.94 to a high of $84.935, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Confluent, Inc. or any security holder of Confluent, Inc. full information regarding the number of shares sold at each price within the range. The amount reflected has been rounded to 4 decimal points.
Represents the weighted-average sale price per share of a series of transactions, all of which were executed on November 15, 2021. The actual sale prices ranged from a low of $84.95 to a high of $85.94 inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Confluent, Inc. or any security holder of Confluent, Inc. full information regarding the number of shares sold at each price within the range. The amount reflected has been rounded to 4 decimal points.
Represents the weighted-average sale price per share of a series of transactions, all of which were executed on November 15, 2021. The actual sale prices ranged from a low of $85.95 to a high of $86.595, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Confluent, Inc. or any security holder of Confluent, Inc. full information regarding the number of shares sold at each price within the range. The amount reflected has been rounded to 4 decimal points.
Shares are held by Matthew R. Cohler's trust entity.
Shares are held by Peter H. Fenton's trust entities.
Shares are held by Mitchell H. Lasky's family partnership.
Shares are held by Mitchell H. Lasky's family trust.
Shares are held by J. William Gurley's family partnerships.
Shares are held by J. William Gurley's trust entity.
Shares are held by Sarah Tavel.
Shares held by An-Yen Hu's trust entity.
Shares held by Chetan Puttagunta.
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 is also convertible at any time at the option of the Reporting Person into one share of Class A Common Stock.