Confluent, Inc. — Director's Dealing 2021

Nov 17, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Confluent, Inc. (CFLT)
CIK: 0001699838
Period of Report: 2021-11-15

Reporting Person: Kreps Edward Jay (Director, Chief Executive Officer, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-15	Class A Common Stock	C	230000	—	Acquired	230000	Direct
2021-11-15	Class A Common Stock	S	12685	$79.36	Disposed	217315	Direct
2021-11-15	Class A Common Stock	S	69040	$80.08	Disposed	148275	Direct
2021-11-15	Class A Common Stock	S	9119	$80.99	Disposed	139156	Direct
2021-11-15	Class A Common Stock	S	27126	$82.44	Disposed	112030	Direct
2021-11-15	Class A Common Stock	S	15346	$83.19	Disposed	96684	Direct
2021-11-15	Class A Common Stock	S	64947	$84.55	Disposed	31737	Direct
2021-11-15	Class A Common Stock	S	21923	$85.19	Disposed	9814	Direct
2021-11-15	Class A Common Stock	S	9714	$86.22	Disposed	100	Direct
2021-11-15	Class A Common Stock	S	100	$86.94	Disposed	0	Direct
2021-11-16	Class A Common Stock	C	2500	—	Acquired	2500	Direct
2021-11-16	Class A Common Stock	S	2300	$80.79	Disposed	200	Direct
2021-11-16	Class A Common Stock	S	200	$83.33	Disposed	0	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-11-15	Class B Common Stock	$	C	230000	Disposed		Class A Common Stock (230000)	Direct
2021-11-16	Class B Common Stock	$	C	2500	Disposed		Class A Common Stock (2500)	Direct
2021-11-16	Class B Common Stock	$	G	3720	Disposed		Class A Common Stock (3720)	Indirect
2021-11-16	Class B Common Stock	$	G	3720	Disposed		Class A Common Stock (3720)	Indirect
2021-11-16	Class B Common Stock	$	G	2480	Disposed		Class A Common Stock (2480)	Indirect
2021-11-16	Class B Common Stock	$	G	2480	Disposed		Class A Common Stock (2480)	Indirect
2021-11-16	Class B Common Stock	$	G	12400	Acquired		Class A Common Stock (12400)	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Class B Common Stock	$		Class A Common Stock (1000000)	1000000	Indirect
Class B Common Stock	$		Class A Common Stock (1000000)	1000000	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: Shares sold pursuant to a 10b5-1 trading plan.

F3: The shares were sold at prices ranging from $78.72 to $79.71. 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.

F4: The shares were sold at prices ranging from $79.72 to $80.68. 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 $80.72 to $81.70. 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 $81.90 to $82.86. 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 $82.90 to $83.89. 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 $83.90 to $84.89. 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 $84.90 to $85.80. 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 $85.91 to $86.73. 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 $80.16 to $81.01. 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 are held by The Parent's 2019 Grantor Retained Annuity Trust - I under agreement dated September 26, 2019.

F13: The shares are held by The Parent's 2019 Grantor Retained Annuity Trust - II under agreement dated September 26, 2019.

F14: The shares are held by The Siblings' 2019 Grantor Retained Annuity Trust - I under agreement dated September 26, 2019.

F15: The shares are held by The Siblings' 2019 Grantor Retained Annuity Trust - II under agreement dated September 26, 2019.

F16: The shares are held by The Edward J. Kreps and Jamaica H. Kreps 2018 Revocable Trust.

F17: The shares are held by the GST Exempt Trust under The Kreps Family 2019 Irrevocable Trust under agreement dated 9/26/2019.