Key facts
- This page summarizes Erica Schultz's Form 4 filing for Confluent, Inc. (CFLT).
- 7 reported transactions and 3 derivative rows are listed below.
- Accepted by SEC: 28 Feb 2024, 21:42.
Erica Schultz - 26 Feb 2024 Form 4 Insider Report for Confluent, Inc. (CFLT)
- Reporting relationship
- PRESIDENT, FIELD OPERATIONS
- Issuer ticker
- CFLT
- Reported as of
- 26 Feb 2024
- Net transaction value
- -$2,134,622
- SEC form
- 4
- Accepted by SEC
- 28 Feb 2024, 21:42:23 UTC
- Prior SEC filing
- 13 Feb 2024
- Next SEC filing
- 05 Mar 2024
- Source filing
- View source filing
- Reporting owner signature
- /s/ Melanie Vinson, Attorney-in-Fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Erica Schultz filed Form 4 for Confluent, Inc. (CFLT) on 28 Feb 2024.
Change
- Previous filing in this sequence was filed on 13 Feb 2024.
- Current net transaction value: -$2,134,622.
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
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
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
- $0
- Shares
- +63,729
- Change %
- +13%
- Price
- $0.000000
- Shares after
- 544,200
- Date
- 26 Feb 2024
- Ownership
- Direct
- Footnotes
- F1, F2
CFLT
transaction
Class A Common Stock
Sale
- Transaction value
- $1,973,450
- Shares
- -58,997
- Change %
- -11%
- Price
- $33.45
- Shares after
- 485,203
- Date
- 26 Feb 2024
- Ownership
- Direct
- Footnotes
- F2, F3, F4
CFLT
transaction
Class A Common Stock
Sale
- Transaction value
- $161,172
- Shares
- -4,732
- Change %
- -0.98%
- Price
- $34.06
- Shares after
- 480,471
- Date
- 26 Feb 2024
- Ownership
- Direct
- Footnotes
- F2, F3, F5
CFLT
transaction
Class A Common Stock
Award
- Transaction value
- $0
- Shares
- +226,244
- Change %
- +47%
- Price
- $0.000000
- Shares after
- 706,715
- Date
- 26 Feb 2024
- Ownership
- Direct
- Footnotes
- F2, F6
CFLT
holding
Class A Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 40,487
- Date
- 26 Feb 2024
- Ownership
- See footnote
- Footnotes
- F7
CFLT
holding
Class A Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 11,500
- Date
- 26 Feb 2024
- Ownership
- See footnote
- Footnotes
- F8
CFLT
holding
Class A Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 55,422
- Date
- 26 Feb 2024
- Ownership
- See footnote
- Footnotes
- F9
CFLT
holding
Class A Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 79,091
- Date
- 26 Feb 2024
- Ownership
- See footnote
- Footnotes
- F10
CFLT
holding
Class A Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 13,500
- Date
- 26 Feb 2024
- Ownership
- See footnote
- Footnotes
- F11
CFLT
holding
Class A Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 200,000
- Date
- 26 Feb 2024
- Ownership
- See footnote
- Footnotes
- F12
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
CFLT
transaction
Derivative
Stock Option (Right to Buy)
Options Exercise
- Transaction value
- $0
- Shares
- -63,729
- Change %
- -3.6%
- Price
- $0.000000
- Shares after
- 1,727,217
- Date
- 26 Feb 2024
- Ownership
- Direct
- Underlying class
- Class B Common Stock
- Underlying amount
- 63,729
- Exercise price
- $3.41
- Footnotes
- F13
CFLT
transaction
Derivative
Class B Common Stock
Options Exercise
- Transaction value
- $0
- Shares
- +63,729
- Change %
- Price
- $0.000000
- Shares after
- 63,729
- Date
- 26 Feb 2024
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 63,729
- Exercise price
- Footnotes
- F1
CFLT
transaction
Derivative
Class B Common Stock
Conversion of derivative security
- Transaction value
- $0
- Shares
- -63,729
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 26 Feb 2024
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 63,729
- Exercise price
- Footnotes
- F1
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Rule 10b5-1 trading plan
These transactions were reported as open-market trades under a Rule 10b5-1 plan. The plan lets an insider set trading instructions in advance, which can reduce the risk of trading while in possession of material nonpublic information.
Original filing language: transaction made pursuant to a contract, instruction, or written plan intended to satisfy Rule 10b5-1(c).
Explanation of responses 13 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
Includes 934 shares purchased through the Issuer's employee stock purchase plan on February 15, 2024.
Footnote F3
Shares sold pursuant to a 10b5-1 trading plan dated August 19, 2023.
Footnote F4
The shares were sold at prices ranging from $32.92 to $33.91. 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.
Footnote F5
The shares were sold at prices ranging from $33.92 to $34.29. 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 F6
The shares are represented by restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. The RSU Award will vest over three years measured from 2/20/2024, with 1/12 of the RSUs subject to the RSU Award vesting three months after 2/20/2024 and 1/12 of the RSUs vesting every three months thereafter, subject to the Reporting Person's Continuous Service with the Issuer through each respective vesting date.
Footnote F7
The shares are held by The Schultz Family Irrevocable Remainder Trust.
Footnote F8
The shares are held by The Bryan and Erica Schultz Family Revocable Trust.
Footnote F9
The shares are held by the Erica Schultz 2022 Annuity Trust.
Footnote F10
The shares are held by the Erica Schultz 2023 Annuity Trust.
Footnote F11
The shares are held by The Ruliffson Schultz Extended Family Trust.
Footnote F12
The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust.
Footnote F13
The shares subject to the option are immediately exercisable. 25% of the shares vested on 10/28/2020 and the remainder vest in 36 equal monthly installments thereafter, subject to Reporting Person's continuous service through each such vesting date.