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Confluent, Inc. — Director's Dealing 2022
Feb 17, 2022
30829_dirs_2022-02-16_12db6f40-c573-4519-b5e3-f8f1f24c8cbf.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Confluent, Inc. (CFLT)
CIK: 0001699838
Period of Report: 2022-02-14
Reporting Person: Narkhede Neha (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-02-14 | Class A Common Stock | C | 125000 | — | Acquired | 125000 | Direct |
| 2022-02-14 | Class A Common Stock | S | 23286 | $53.17 | Disposed | 101714 | Direct |
| 2022-02-14 | Class A Common Stock | S | 76333 | $54.03 | Disposed | 25381 | Direct |
| 2022-02-14 | Class A Common Stock | S | 9605 | $54.84 | Disposed | 15776 | Direct |
| 2022-02-14 | Class A Common Stock | S | 9319 | $55.98 | Disposed | 6457 | Direct |
| 2022-02-14 | Class A Common Stock | S | 6457 | $56.81 | Disposed | 0 | Direct |
| 2022-02-15 | Class A Common Stock | C | 125000 | — | Acquired | 125000 | Direct |
| 2022-02-15 | Class A Common Stock | S | 50396 | $53.18 | Disposed | 74604 | Direct |
| 2022-02-15 | Class A Common Stock | S | 24804 | $54.03 | Disposed | 49800 | Direct |
| 2022-02-15 | Class A Common Stock | S | 6448 | $55.04 | Disposed | 43352 | Direct |
| 2022-02-15 | Class A Common Stock | S | 21005 | $55.99 | Disposed | 22347 | Direct |
| 2022-02-15 | Class A Common Stock | S | 22264 | $57.11 | Disposed | 83 | Direct |
| 2022-02-15 | Class A Common Stock | S | 83 | $57.62 | Disposed | 0 | Direct |
| 2022-02-16 | Class A Common Stock | C | 27400 | — | Acquired | 27400 | Direct |
| 2022-02-16 | Class A Common Stock | S | 27400 | $58.09 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-02-14 | Stock Option (Right to Buy) | $2.24 | M | 125000 | Disposed | 2028-10-21 | Class B Common Stock (125000) | Direct |
| 2022-02-14 | Class B Common Stock | $ | M | 125000 | Acquired | Class A Common Stock (125000) | Direct | |
| 2022-02-14 | Class B Common Stock | $ | C | 125000 | Disposed | Class A Common Stock (125000) | Direct | |
| 2022-02-15 | Stock Option (Right to Buy) | $2.24 | M | 125000 | Disposed | 2028-10-21 | Class B Common Stock (125000) | Direct |
| 2022-02-15 | Class B Common Stock | $ | M | 125000 | Acquired | Class A Common Stock (125000) | Direct | |
| 2022-02-15 | Class B Common Stock | $ | C | 125000 | Disposed | Class A Common Stock (125000) | Direct | |
| 2022-02-16 | Stock Option (Right to Buy) | $2.24 | M | 27400 | Disposed | 2028-10-21 | Class B Common Stock (27400) | Direct |
| 2022-02-16 | Class B Common Stock | $ | M | 27400 | Acquired | Class A Common Stock (27400) | Direct | |
| 2022-02-16 | Class B Common Stock | $ | C | 27400 | Disposed | Class A Common Stock (27400) | 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: Shares sold pursuant to 10b5-1 trading plan adopted September 15, 2021.
F3: The shares were sold at prices ranging from $52.55 to $53.54. 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 $53.55 to $54.54. 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 $54.55 to $55.54. 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 $55.57 to $56.56. 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 $56.57 to $57.53. 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 $52.61 to $53.60. 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 $53.61 to $54.57. 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 $54.61 to $55.60. 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 $55.61 to $56.59. 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 were sold at prices ranging from $56.62 to $57.61. 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.
F13: The shares were sold at prices ranging from $58.00 to $58.55. 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.
F14: 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.