Confluent, Inc. — Director's Dealing 2022

Nov 15, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Confluent, Inc. (CFLT)
CIK: 0001699838
Period of Report: 2022-11-09

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-11-09	Class A Common Stock	C	255005	—	Acquired	255005	Indirect
2022-11-09	Class A Common Stock	C	255005	—	Acquired	255005	Indirect
2022-11-09	Class A Common Stock	C	170003	—	Acquired	170003	Indirect
2022-11-09	Class A Common Stock	C	170003	—	Acquired	170003	Indirect
2022-11-09	Class A Common Stock	G	255005	$0.00	Disposed	0	Indirect
2022-11-09	Class A Common Stock	G	255005	$0.00	Disposed	0	Indirect
2022-11-09	Class A Common Stock	G	170003	$0.00	Disposed	0	Indirect
2022-11-09	Class A Common Stock	G	170003	$0.00	Disposed	0	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-11-09	Class B Common Stock	$	C	255005	Disposed		Class A Common Stock (255005)	Indirect
2022-11-09	Class B Common Stock	$	C	255005	Disposed		Class A Common Stock (255005)	Indirect
2022-11-09	Class B Common Stock	$	C	170003	Disposed		Class A Common Stock (170003)	Indirect
2022-11-09	Class B Common Stock	$	C	170003	Disposed		Class A Common Stock (170003)	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Class B Common Stock	$		Class A Common Stock (19830000)	19830000	Direct
Class B Common Stock	$		Class A Common Stock (149984)	149984	Indirect
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: The shares are held by The Parent's 2019 Grantor Retained Annuity Trust - I under agreement dated September 26, 2019.

F3: The shares are held by The Parent's 2019 Grantor Retained Annuity Trust - II under agreement dated September 26, 2019.

F4: The shares are held by The Siblings' 2019 Grantor Retained Annuity Trust - I under agreement dated September 26, 2019.

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

F6: The shares are held by The Edward J. Kreps and Jamaica H. Kreps 2018 Revocable Trust. On November 9, 2022, an aggregate of 66,894 shares of Class B Common Stock was transferred to The Edward J. Kreps and Jamaica H. Kreps 2018 Revocable Trust in the form of annuity payments from The Parent's 2019 Grantor Retained Annuity Trust - I, The Parent's 2019 Grantor Retained Annuity Trust - II, The Siblings' Grantor Retained Annuity Trust - I and The Siblings' Grantor Retained Annuity Trust - II.

F7: The shares are held by the GST Exempt Trust under The Kreps Family 2019 Irrevocable Trust under agreement dated 9/26/2019.

F8: The shares are held by the GST Exempt Trust under The Kreps Family 2019 Irrevocable Trust under agreement dated 9/26/2019.