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

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Class B Common Stock	$		Class A Common Stock (20760000)		Direct
Class B Common Stock	$		Class A Common Stock (70690)		Indirect
Class B Common Stock	$		Class A Common Stock (1000000)		Indirect
Class B Common Stock	$		Class A Common Stock (1000000)		Indirect
Class B Common Stock	$		Class A Common Stock (278793)		Indirect
Class B Common Stock	$		Class A Common Stock (278793)		Indirect
Class B Common Stock	$		Class A Common Stock (185862)		Indirect
Class B Common Stock	$		Class A Common Stock (185862)		Indirect
Stock Option (Right to Buy)	$2.24	2028-10-21	Class B Common Stock (1725153)		Direct
Stock Option (Right to Buy)	$2.24	2028-10-21	Class B Common Stock (1725153)		Direct
Stock Option (Right to Buy)	$15.68	2031-03-18	Class B Common Stock (2347999)		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 Edward J. Kreps and Jamaica H. Kreps 2018 Revocable Trust.

F3: The shares are held by the GST Exempt Trust under The Kreps Family 2019 Irrevocable Trust under agreement dated 9/26/2019.

F4: The shares are held by the GST Exempt Trust under The Kreps Family 2019 Irrevocable Trust under agreement dated 9/26/2019.

F5: The shares are held by The Parent's 2019 Grantor Retained Annuity Trust - I under agreement dated September 26, 2019.

F6: The shares are held by The Parent's 2019 Grantor Retained Annuity Trust - II under agreement dated September 26, 2019.

F7: The shares are held by The Siblings' 2019 Grantor Retained Annuity Trust - I under agreement dated September 26, 2019.

F8: The shares are held by The Siblings' 2019 Grantor Retained Annuity Trust - II under agreement dated September 26, 2019.

F9: The shares subject to the option are immediately exercisable and vest in 48 equal monthly installments with a vesting commencement date of October 1, 2018, subject to Reporting Person's continuous service through each such vesting date.

F10: The shares subject to the option are immediately exercisable and vest in 48 equal monthly installments with a vesting commencement date of June 23, 2021, subject to Reporting Person's continuous service through each such vesting date.

F11: The shares subject to the option are immediately exercisable and vest in 48 equal monthly installments with a vesting commencement date of March 19, 2021, subject to Reporting Person's continuous service through each such vesting date.