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Confluent, Inc. — Director's Dealing 2024
May 11, 2024
30829_dirs_2024-05-10_cf2622d3-9fa9-4dc6-845a-c7769a12f0e9.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: 2024-05-09
Reporting Person: Schultz Erica (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-05-09 | Class A Common Stock | C | 63729 | — | Acquired | 770444 | Direct |
| 2024-05-09 | Class A Common Stock | S | 63729 | $31 | Disposed | 706715 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-05-09 | Stock Option (Right to Buy) | $3.41 | M | 63729 | Disposed | 2029-12-04 | Class B Common Stock (63729) | Direct |
| 2024-05-09 | Class B Common Stock | $ | M | 63729 | Acquired | Class A Common Stock (63729) | Direct | |
| 2024-05-09 | Class B Common Stock | $ | C | 63729 | Disposed | Class A Common Stock (63729) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 40487 | Indirect |
| Class A Common Stock | 11500 | Indirect |
| Class A Common Stock | 55422 | Indirect |
| Class A Common Stock | 79091 | 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 dated August 19, 2023.
F3: The shares were sold at prices ranging from $30.65 to $31.40. 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 are held by The Schultz Family Irrevocable Remainder Trust.
F5: The shares are held by The Bryan and Erica Schultz Family Revocable Trust.
F6: The shares are held by the Erica Schultz 2022 Annuity Trust.
F7: The shares are held by the Erica Schultz 2023 Annuity Trust.
F8: The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust.
F9: Fully vested.