Filing Details
- Accession Number:
- 0001209191-22-057192
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-11-15 20:01:29
- Reporting Period:
- 2022-11-11
- Accepted Time:
- 2022-11-15 20:01:29
- 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 |
|---|---|---|---|---|---|---|---|
| 1393402 | Steffan Tomlinson | C/O Confluent, Inc. 899 W. Evelyn Avenue Mountain View CA 94041 | Chief Financial Officer | 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 | 2022-11-11 | 15,393 | $0.00 | 121,800 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2022-11-11 | 15,393 | $25.00 | 106,407 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | 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 | 2022-11-11 | 15,393 | $0.00 | 15,393 | $6.65 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2022-11-12 | 15,393 | $0.00 | 15,393 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2022-11-12 | 15,393 | $0.00 | 15,393 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,541,416 | 2030-08-05 | No | 4 | M | Direct | |
| 15,393 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct |
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 | 150,425 | 150,425 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 150,425 | 150,425 | 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 subject to the option are immediately exercisable. 25% of the shares vested on June 15, 2021 and the remainder vest in 36 equal monthly installments thereafter, subject to Reporting Person's continuous service through each such vesting date.
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