Confluent, Inc. — Director's Dealing 2022

Dec 16, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Confluent, Inc. (CFLT)
CIK: 0001699838
Period of Report: 2022-12-13

Reporting Person: Schultz Erica (President, Field Operations)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-12-13	Class A Common Stock	C	9421	—	Acquired	145153	Direct
2022-12-13	Class A Common Stock	S	9421	$25.00	Disposed	135732	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-12-13	Stock Option (Right to Buy)	$3.41	M	9421	Disposed	2029-12-04	Class B Common Stock (9421)	Direct
2022-12-13	Class B Common Stock	$	M	9421	Acquired		Class A Common Stock (9421)	Direct
2022-12-13	Class B Common Stock	$	C	9421	Disposed		Class A Common Stock (9421)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	97124	Indirect
Class A Common Stock	11500	Indirect
Class A Common Stock	77876	Indirect
Class A Common Stock	13500	Indirect
Class A Common Stock	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: Shares sold pursuant to a 10b5-1 trading plan.

F3: The shares are held by The Erica Schultz 2021 Annuity Trust.

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

F5: The shares are held by the Erica Schultz 2022 Annuity Trust.

F6: The shares are held by The Ruliffson Schultz Extended Family Trust.

F7: The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust.

F8: 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.