Confluent, Inc. — Director's Dealing 2021

Jun 24, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Confluent, Inc. (CFLT)
CIK: 0001699838
Period of Report: 2021-06-23

Reporting Person: Schultz Erica (President, Field Operations)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Class B Common Stock	$		Class A Common Stock (175000)		Indirect
Class B Common Stock	$		Class A Common Stock (13500)		Indirect
Class B Common Stock	$		Class A Common Stock (211500)		Indirect
Class B Common Stock	$		Class A Common Stock (200000)		Indirect
Stock Option (Right to Buy)	$3.41	2029-12-04	Class B Common Stock (2459000)		Direct

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 Erica Schultz 2021 Annuity Trust u/a/d 3/25/2021.

F3: The shares are held by The Ruliffson Schultz Extended Family Trust.

F4: The shares are held by The Bryan and Erica Schultz Family Revocable Trust.

F5: The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust.

F6: The shares subject to the option are immediately exercisable. 25% of the shares vested on 10/28/2020 and the remainder vest in 36 equal monthly installments thereafter, subject to Reporting Person's continuous service through each such vesting date.