Erica Schultz - 08 Dec 2021 Form 4 Insider Report for Confluent, Inc. (CFLT)

Reporting relationship: President, Field Operations
Issuer ticker: CFLT
Reported as of: 08 Dec 2021
Net transaction value: -$6,741,780
SEC form: 4
Accepted by SEC: 10 Dec 2021, 20:30:44 UTC
Prior SEC filing: 19 Nov 2021
Next SEC filing: 02 Mar 2022
Source filing: View source filing
Reporting owner signature: /s/ Melanie Vinson, Attorney-in-fact

Key filing fact

Erica Schultz filed Form 4 for Confluent, Inc. (CFLT) on 10 Dec 2021.

Key facts

This page summarizes Erica Schultz's Form 4 filing for Confluent, Inc. (CFLT).
16 reported transactions and 5 derivative rows are listed below.
Accepted by SEC: 10 Dec 2021, 20:30.

Change

Previous filing in this sequence was filed on 19 Nov 2021.
Current net transaction value: -$6,741,780.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

CFLT transaction

Class A Common Stock

Conversion of derivative security

Transaction value
Shares: +50,000
Change %
Price
Shares after: 50,000
Date: 08 Dec 2021
Ownership: See footnote
Footnotes: F1, F2

CFLT transaction

Class A Common Stock

Sale

Transaction value: $38,922
Shares: -600
Change %: -1.2%
Price: $64.87
Shares after: 49,400
Date: 08 Dec 2021
Ownership: See footnote
Footnotes: F2, F3, F4

CFLT transaction

Class A Common Stock

Sale

Transaction value: $33,235
Shares: -500
Change %: -1%
Price: $66.47
Shares after: 48,900
Date: 08 Dec 2021
Ownership: See footnote
Footnotes: F2, F3, F5

CFLT transaction

Class A Common Stock

Sale

Transaction value: $183,438
Shares: -2,700
Change %: -5.5%
Price: $67.94
Shares after: 46,200
Date: 08 Dec 2021
Ownership: See footnote
Footnotes: F2, F3, F6

CFLT transaction

Class A Common Stock

Sale

Transaction value: $748,571
Shares: -10,841
Change %: -23%
Price: $69.05
Shares after: 35,359
Date: 08 Dec 2021
Ownership: See footnote
Footnotes: F2, F3, F7

CFLT transaction

Class A Common Stock

Sale

Transaction value: $1,096,627
Shares: -15,693
Change %: -44%
Price: $69.88
Shares after: 19,666
Date: 08 Dec 2021
Ownership: See footnote
Footnotes: F2, F3, F8

CFLT transaction

Class A Common Stock

Sale

Transaction value: $990,418
Shares: -13,985
Change %: -71%
Price: $70.82
Shares after: 5,681
Date: 08 Dec 2021
Ownership: See footnote
Footnotes: F2, F3, F9

CFLT transaction

Class A Common Stock

Sale

Transaction value: $406,987
Shares: -5,681
Change %: -100%
Price: $71.64
Shares after: 0
Date: 08 Dec 2021
Ownership: See footnote
Footnotes: F2, F3, F10

CFLT transaction

Class A Common Stock

Conversion of derivative security

Transaction value
Shares: +50,000
Change %
Price
Shares after: 50,000
Date: 10 Dec 2021
Ownership: See footnote
Footnotes: F1, F2

CFLT transaction

Class A Common Stock

Sale

Transaction value: $395,529
Shares: -6,184
Change %: -12%
Price: $63.96
Shares after: 43,816
Date: 10 Dec 2021
Ownership: See footnote
Footnotes: F2, F3, F11

CFLT transaction

Class A Common Stock

Sale

Transaction value: $2,327,121
Shares: -35,929
Change %: -82%
Price: $64.77
Shares after: 7,887
Date: 10 Dec 2021
Ownership: See footnote
Footnotes: F2, F3, F12

CFLT transaction

Class A Common Stock

Sale

Transaction value: $372,271
Shares: -5,687
Change %: -72%
Price: $65.46
Shares after: 2,200
Date: 10 Dec 2021
Ownership: See footnote
Footnotes: F2, F3, F13

CFLT transaction

Class A Common Stock

Sale

Transaction value: $20,013
Shares: -300
Change %: -14%
Price: $66.71
Shares after: 1,900
Date: 10 Dec 2021
Ownership: See footnote
Footnotes: F2, F3, F14

CFLT transaction

Class A Common Stock

Sale

Transaction value: $128,649
Shares: -1,900
Change %: -100%
Price: $67.71
Shares after: 0
Date: 10 Dec 2021
Ownership: See footnote
Footnotes: F2, F3, F15

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

CFLT transaction Derivative

Class B Common Stock

Conversion of derivative security

Transaction value: $0
Shares: -50,000
Change %: -45%
Price: $0.000000
Shares after: 61,500
Date: 08 Dec 2021
Ownership: See footnote
Underlying class: Class A Common Stock
Underlying amount: 50,000
Exercise price
Footnotes: F1, F2

CFLT transaction Derivative

Class B Common Stock

Conversion of derivative security

Transaction value: $0
Shares: -50,000
Change %: -81%
Price: $0.000000
Shares after: 11,500
Date: 10 Dec 2021
Ownership: See footnote
Underlying class: Class A Common Stock
Underlying amount: 50,000
Exercise price
Footnotes: F1, F2

CFLT holding Derivative

Class B Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 175,000
Date: 08 Dec 2021
Ownership: See footnote
Underlying class: Class A Common Stock
Underlying amount: 175,000
Exercise price
Footnotes: F1, F16

CFLT holding Derivative

Class B Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 13,500
Date: 08 Dec 2021
Ownership: See footnote
Underlying class: Class A Common Stock
Underlying amount: 13,500
Exercise price
Footnotes: F1, F17

CFLT holding Derivative

Class B Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 200,000
Date: 08 Dec 2021
Ownership: See footnote
Underlying class: Class A Common Stock
Underlying amount: 200,000
Exercise price
Footnotes: F1, F18

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 18 footnotes

Footnote 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.

Footnote F2

The shares are held by The Bryan and Erica Schultz Family Revocable Trust.

Footnote F3

Shares sold pursuant to 10b5-1 trading plan adopted September 14, 2021.

Footnote F4

The shares were sold at prices ranging from $64.47 to $65.05. 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.

Footnote F5

The shares were sold at prices ranging from $66.04 to $67.02. 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.

Footnote F6

The shares were sold at prices ranging from $67.31 to $68.29. 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.

Footnote F7

The shares were sold at prices ranging from $68.33 to $69.32. 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.

Footnote F8

The shares were sold at prices ranging from $69.33 to $70.31. 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.

Footnote F9

The shares were sold at prices ranging from $70.33 to $71.32. 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.

Footnote F10

The shares were sold at prices ranging from $71.33 to $72.17. 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.

Footnote F11

The shares were sold at prices ranging from $63.28 to $64.27. 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.

Footnote F12

The shares were sold at prices ranging from $64.28 to $65.27. 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.

Footnote F13

The shares were sold at prices ranging from $65.30 to $66.22. 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.

Footnote F14

The shares were sold at prices ranging from $66.34 to $67.09. 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.

Footnote F15

The shares were sold at prices ranging from $67.46 to $68.00. 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.

Footnote F16

The shares are held by The Erica Schultz 2021 Annuity Trust u/a/d 3/25/2021.

Footnote F17

The shares are held by The Ruliffson Schultz Extended Family Trust.

Footnote F18

The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust.