Steffan Tomlinson - 23 Jun 2021 Form 3 Insider Report for Confluent, Inc. (CFLT)

Role
Chief Financial Officer
Signature
/s/ Melanie Vinson, Attorney-in-fact
Issuer symbol
CFLT
Transactions as of
23 Jun 2021
Net transactions value
$0
Form type
3
Filing time
23 Jun 2021, 18:14:52 UTC
Previous filing
11 Jun 2021
Next filing
03 Sep 2021
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding CFLT Class B Common Stock 23 Jun 2021 Class A Common Stock 150,425 See footnote F1, F2
holding CFLT Stock Option (Right to Buy) 23 Jun 2021 Class B Common Stock 3,306,809 $6.65 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 Tomlinson Family Trust.
F3 The shares subject to the option are immediately exercisable. 25% of the shares vested on June 15, 2021 and the remainder vest in 36 equal monthly installments thereafter, subject to Reporting Person's continuous service through each such vesting date.