Home > Insider Trading > Filing (0001209191-21-065294)

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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
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
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

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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	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

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 10b5-1 trading plan adopted September 15, 2021.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.