Filing Details

Accession Number:
0001209191-23-007383
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-02-06 19:59:52
Reporting Period:
2023-02-02
Accepted Time:
2023-02-06 19:59:52
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
1567190 Stephanie Buscemi C/O Confluent, Inc.
899 W. Evelyn Avenue
Mountain View CA 94041
Chief Marketing 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 2023-02-02 97,450 $0.00 136,720 No 4 C Direct
Class A Common Stock Disposition 2023-02-02 94,486 $25.46 42,234 No 4 S Direct
Class A Common Stock Disposition 2023-02-02 2,964 $27.50 39,270 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
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 2023-02-02 97,450 $0.00 97,450 $15.68
Class A Common Stock Class B Common Stock Acquisiton 2023-02-02 97,450 $0.00 97,450 $0.00
Class A Common Stock Class B Common Stock Disposition 2023-02-02 97,450 $0.00 97,450 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,140,915 2031-03-19 No 4 M Direct
97,450 No 4 M Direct
0 No 4 C Direct
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.
  3. The shares were sold at prices ranging from $25.02 to $26.00. 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 $27.50 to $27.51. 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. Twenty-five percent of the shares subject to the option vested on 3/8/2022 and the balance of the shares vest monthly thereafter for the following 3 years, subject to the reporting person's continued service as of each such vesting date.