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

Signature
/s/ Melanie Vinson, Attorney-in-fact
Issuer symbol
CFLT
Transactions as of
08 Dec 2021
Net transactions value
-$6,741,780
Form type
4
Filing time
10 Dec 2021, 20:30:44 UTC
Previous filing
19 Nov 2021
Next filing
02 Mar 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 +50,000 50,000 08 Dec 2021 See footnote F1, F2
transaction CFLT Class A Common Stock Sale $38,922 -600 -1.2% $64.87 49,400 08 Dec 2021 See footnote F2, F3, F4
transaction CFLT Class A Common Stock Sale $33,235 -500 -1% $66.47 48,900 08 Dec 2021 See footnote F2, F3, F5
transaction CFLT Class A Common Stock Sale $183,438 -2,700 -5.5% $67.94 46,200 08 Dec 2021 See footnote F2, F3, F6
transaction CFLT Class A Common Stock Sale $748,571 -10,841 -23% $69.05 35,359 08 Dec 2021 See footnote F2, F3, F7
transaction CFLT Class A Common Stock Sale $1,096,627 -15,693 -44% $69.88 19,666 08 Dec 2021 See footnote F2, F3, F8
transaction CFLT Class A Common Stock Sale $990,418 -13,985 -71% $70.82 5,681 08 Dec 2021 See footnote F2, F3, F9
transaction CFLT Class A Common Stock Sale $406,987 -5,681 -100% $71.64 0 08 Dec 2021 See footnote F2, F3, F10
transaction CFLT Class A Common Stock Conversion of derivative security +50,000 50,000 10 Dec 2021 See footnote F1, F2
transaction CFLT Class A Common Stock Sale $395,529 -6,184 -12% $63.96 43,816 10 Dec 2021 See footnote F2, F3, F11
transaction CFLT Class A Common Stock Sale $2,327,121 -35,929 -82% $64.77 7,887 10 Dec 2021 See footnote F2, F3, F12
transaction CFLT Class A Common Stock Sale $372,271 -5,687 -72% $65.46 2,200 10 Dec 2021 See footnote F2, F3, F13
transaction CFLT Class A Common Stock Sale $20,013 -300 -14% $66.71 1,900 10 Dec 2021 See footnote F2, F3, F14
transaction CFLT Class A Common Stock Sale $128,649 -1,900 -100% $67.71 0 10 Dec 2021 See footnote F2, F3, F15

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 -45% $0.000000 61,500 08 Dec 2021 Class A Common Stock 50,000 See footnote F1, F2
transaction CFLT Class B Common Stock Conversion of derivative security $0 -50,000 -81% $0.000000 11,500 10 Dec 2021 Class A Common Stock 50,000 See footnote F1, F2
holding CFLT Class B Common Stock 175,000 08 Dec 2021 Class A Common Stock 175,000 See footnote F1, F16
holding CFLT Class B Common Stock 13,500 08 Dec 2021 Class A Common Stock 13,500 See footnote F1, F17
holding CFLT Class B Common Stock 200,000 08 Dec 2021 Class A Common Stock 200,000 See footnote F1, F18
* 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 $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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
F16 The shares are held by The Erica Schultz 2021 Annuity Trust u/a/d 3/25/2021.
F17 The shares are held by The Ruliffson Schultz Extended Family Trust.
F18 The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust.