Neha Narkhede - Feb 14, 2022 Form 4 Insider Report for Confluent, Inc. (CFLT)

Role
Director
Signature
/s/ Melanie Vinson, Attorney-in-fact
Stock symbol
CFLT
Transactions as of
Feb 14, 2022
Transactions value $
-$15,196,759
Form type
4
Date filed
2/16/2022, 08:02 PM
Previous filing
Dec 17, 2021
Next filing
Jun 6, 2022

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 +125K 125K Feb 14, 2022 Direct F1
transaction CFLT Class A Common Stock Sale -$1.24M -23.3K -18.63% $53.17 102K Feb 14, 2022 Direct F2, F3
transaction CFLT Class A Common Stock Sale -$4.12M -76.3K -75.05% $54.03 25.4K Feb 14, 2022 Direct F2, F4
transaction CFLT Class A Common Stock Sale -$527K -9.61K -37.84% $54.84 15.8K Feb 14, 2022 Direct F2, F5
transaction CFLT Class A Common Stock Sale -$522K -9.32K -59.07% $55.98 6.46K Feb 14, 2022 Direct F2, F6
transaction CFLT Class A Common Stock Sale -$367K -6.46K -100% $56.81 0 Feb 14, 2022 Direct F2, F7
transaction CFLT Class A Common Stock Conversion of derivative security +125K 125K Feb 15, 2022 Direct F1
transaction CFLT Class A Common Stock Sale -$2.68M -50.4K -40.32% $53.18 74.6K Feb 15, 2022 Direct F2, F8
transaction CFLT Class A Common Stock Sale -$1.34M -24.8K -33.25% $54.03 49.8K Feb 15, 2022 Direct F2, F9
transaction CFLT Class A Common Stock Sale -$355K -6.45K -12.95% $55.04 43.4K Feb 15, 2022 Direct F2, F10
transaction CFLT Class A Common Stock Sale -$1.18M -21K -48.45% $55.99 22.3K Feb 15, 2022 Direct F2, F11
transaction CFLT Class A Common Stock Sale -$1.27M -22.3K -99.63% $57.11 83 Feb 15, 2022 Direct F2, F12
transaction CFLT Class A Common Stock Sale -$4.78K -83 -100% $57.62 0 Feb 15, 2022 Direct F2
transaction CFLT Class A Common Stock Conversion of derivative security +27.4K 27.4K Feb 16, 2022 Direct F1
transaction CFLT Class A Common Stock Sale -$1.59M -27.4K -100% $58.09 0 Feb 16, 2022 Direct F2, F13

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 Stock Option (Right to Buy) Options Exercise $0 -125K -13.79% $0.00 782K Feb 14, 2022 Class B Common Stock 125K $2.24 Direct F14
transaction CFLT Class B Common Stock Options Exercise $0 +125K +11.53% $0.00 1.21M Feb 14, 2022 Class A Common Stock 125K Direct F1
transaction CFLT Class B Common Stock Conversion of derivative security $0 -125K -10.34% $0.00 1.08M Feb 14, 2022 Class A Common Stock 125K Direct F1
transaction CFLT Stock Option (Right to Buy) Options Exercise $0 -125K -15.99% $0.00 657K Feb 15, 2022 Class B Common Stock 125K $2.24 Direct F14
transaction CFLT Class B Common Stock Options Exercise $0 +125K +11.53% $0.00 1.21M Feb 15, 2022 Class A Common Stock 125K Direct F1
transaction CFLT Class B Common Stock Conversion of derivative security $0 -125K -10.34% $0.00 1.08M Feb 15, 2022 Class A Common Stock 125K Direct F1
transaction CFLT Stock Option (Right to Buy) Options Exercise $0 -27.4K -4.17% $0.00 629K Feb 16, 2022 Class B Common Stock 27.4K $2.24 Direct F14
transaction CFLT Class B Common Stock Options Exercise $0 +27.4K +2.53% $0.00 1.11M Feb 16, 2022 Class A Common Stock 27.4K Direct F1
transaction CFLT Class B Common Stock Conversion of derivative security $0 -27.4K -2.47% $0.00 1.08M Feb 16, 2022 Class A Common Stock 27.4K Direct F1
* 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 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.