Confluent, Inc. — Director's Dealing 2021

Dec 11, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Confluent, Inc. (CFLT)
CIK: 0001699838
Period of Report: 2021-12-08

Reporting Person: Schultz Erica (President, Field Operations)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-12-08	Class A Common Stock	C	50000	—	Acquired	50000	Indirect
2021-12-08	Class A Common Stock	S	600	$64.87	Disposed	49400	Indirect
2021-12-08	Class A Common Stock	S	500	$66.47	Disposed	48900	Indirect
2021-12-08	Class A Common Stock	S	2700	$67.94	Disposed	46200	Indirect
2021-12-08	Class A Common Stock	S	10841	$69.05	Disposed	35359	Indirect
2021-12-08	Class A Common Stock	S	15693	$69.88	Disposed	19666	Indirect
2021-12-08	Class A Common Stock	S	13985	$70.82	Disposed	5681	Indirect
2021-12-08	Class A Common Stock	S	5681	$71.64	Disposed	0	Indirect
2021-12-10	Class A Common Stock	C	50000	—	Acquired	50000	Indirect
2021-12-10	Class A Common Stock	S	6184	$63.96	Disposed	43816	Indirect
2021-12-10	Class A Common Stock	S	35929	$64.77	Disposed	7887	Indirect
2021-12-10	Class A Common Stock	S	5687	$65.46	Disposed	2200	Indirect
2021-12-10	Class A Common Stock	S	300	$66.71	Disposed	1900	Indirect
2021-12-10	Class A Common Stock	S	1900	$67.71	Disposed	0	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-12-08	Class B Common Stock	$	C	50000	Disposed		Class A Common Stock (50000)	Indirect
2021-12-10	Class B Common Stock	$	C	50000	Disposed		Class A Common Stock (50000)	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Class B Common Stock	$		Class A Common Stock (175000)	175000	Indirect
Class B Common Stock	$		Class A Common Stock (13500)	13500	Indirect
Class B Common Stock	$		Class A Common Stock (200000)	200000	Indirect

Footnotes

F1: 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.

F2: The shares are held by The Bryan and Erica Schultz Family Revocable Trust.

F3: Shares sold pursuant to 10b5-1 trading plan adopted September 14, 2021.

F4: The shares were sold at prices ranging from $64.47 to $65.05. 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.

F5: The shares were sold at prices ranging from $66.04 to $67.02. 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.

F6: The shares were sold at prices ranging from $67.31 to $68.29. 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.

F7: The shares were sold at prices ranging from $68.33 to $69.32. 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.

F8: The shares were sold at prices ranging from $69.33 to $70.31. 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.

F9: The shares were sold at prices ranging from $70.33 to $71.32. 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.

F10: The shares were sold at prices ranging from $71.33 to $72.17. 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.

F11: The shares were sold at prices ranging from $63.28 to $64.27. 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.

F12: The shares were sold at prices ranging from $64.28 to $65.27. 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.

F13: The shares were sold at prices ranging from $65.30 to $66.22. 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.

F14: The shares were sold at prices ranging from $66.34 to $67.09. 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.

F15: The shares were sold at prices ranging from $67.46 to $68.00. 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.

F16: The shares are held by The Erica Schultz 2021 Annuity Trust u/a/d 3/25/2021.

F17: The shares are held by The Ruliffson Schultz Extended Family Trust.

F18: The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust.