Erica Schultz - 17 Nov 2021 Form 4 Insider Report for Confluent, Inc. (CFLT)

Signature
/s/ Melanie Vinson, Attorney-in-fact
Issuer symbol
CFLT
Transactions as of
17 Nov 2021
Net transactions value
-$8,123,685
Form type
4
Filing time
19 Nov 2021, 20:00:27 UTC
Previous filing
21 Sep 2021
Next filing
10 Dec 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CFLT Class A Common Stock Conversion of derivative security +50,000 50,000 17 Nov 2021 See footnote F1, F2
transaction CFLT Class A Common Stock Sale $1,820,648 -22,798 -46% $79.86 27,202 17 Nov 2021 See footnote F2, F3, F4
transaction CFLT Class A Common Stock Sale $1,639,082 -20,336 -75% $80.60 6,866 17 Nov 2021 See footnote F2, F3, F5
transaction CFLT Class A Common Stock Sale $558,824 -6,866 -100% $81.39 0 17 Nov 2021 See footnote F2, F3, F6
transaction CFLT Class A Common Stock Conversion of derivative security +50,000 50,000 19 Nov 2021 See footnote F1, F2
transaction CFLT Class A Common Stock Sale $1,351,155 -16,900 -34% $79.95 33,100 19 Nov 2021 See footnote F2, F3, F7
transaction CFLT Class A Common Stock Sale $396,557 -4,900 -15% $80.93 28,200 19 Nov 2021 See footnote F2, F3, F8
transaction CFLT Class A Common Stock Sale $327,760 -4,000 -14% $81.94 24,200 19 Nov 2021 See footnote F2, F3, F9
transaction CFLT Class A Common Stock Sale $579,057 -6,964 -29% $83.15 17,236 19 Nov 2021 See footnote F2, F3, F10
transaction CFLT Class A Common Stock Sale $1,136,604 -13,531 -79% $84.00 3,705 19 Nov 2021 See footnote F2, F3, F11
transaction CFLT Class A Common Stock Sale $313,999 -3,705 -100% $84.75 0 19 Nov 2021 See footnote F2, F3, F12

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
transaction CFLT Class B Common Stock Conversion of derivative security $0 -50,000 -24% $0.000000 161,500 17 Nov 2021 Class A Common Stock 50,000 See footnote F1, F2
transaction CFLT Class B Common Stock Conversion of derivative security $0 -50,000 -31% $0.000000 111,500 19 Nov 2021 Class A Common Stock 50,000 See footnote F1, F2
holding CFLT Class B Common Stock 175,000 17 Nov 2021 Class A Common Stock 175,000 See footnote F1, F13
holding CFLT Class B Common Stock 13,500 17 Nov 2021 Class A Common Stock 13,500 See footnote F1, F14
holding CFLT Class B Common Stock 200,000 17 Nov 2021 Class A Common Stock 200,000 See footnote F1, F15
* 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 Bryan and Erica Schultz Family Revocable Trust.
F3 Shares sold pursuant to 10b5-1 trading plan adopted September 14, 2021.
F4 The shares were sold at prices ranging from $79.15 to $80.13. 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 $80.16 to $81.15. 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 $81.16 to $81.91. 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 $79.53 to $80.51. 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 $80.53 to $81.50. 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 $81.54 to $82.41. 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 $82.55 to $83.54. 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.
F11 The shares were sold at prices ranging from $83.55 to $84.53. 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.
F12 The shares were sold at prices ranging from $84.56 to $85.10. 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 are held by The Erica Schultz 2021 Annuity Trust u/a/d 3/25/2021.
F14 The shares are held by The Ruliffson Schultz Extended Family Trust.
F15 The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust.