Accession Number: | 0001209191-22-058005 |
Date: | 2022-11-16 |
Issuer: | CONFLUENT, INC. (CFLT) |
Original Submission Date: |
KREPS EDWARD JAY
C/O CONFLUENT, INC.
899 W. EVELYN AVENUE
MOUNTAIN VIEW, CA 94041
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
CLASS A COMMON STOCK | 2022-11-16 | C | 232,500 | a | $0.00 | 232,500 | direct | ||
CLASS A COMMON STOCK | 2022-11-16 | S | 203,907 | d | $22.39 | 28,593 | direct | ||
CLASS A COMMON STOCK | 2022-11-16 | S | 28,593 | d | $23.00 | 0 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
CLASS B COMMON STOCK | 0.0 | 2022-11-16 | deemed execution date | C | 232,500 (d) | class a common stock 232,500 | $0.00 | 19,597,500 | direct | |||
CLASS B COMMON STOCK | 0.0 | deemed execution date | 0 ( ) | class a common stock 149,984 | $0.00 | 149,984 | indirect | see footnote | ||||
CLASS B COMMON STOCK | 0.0 | deemed execution date | 0 ( ) | class a common stock 1,000,000 | $0.00 | 1,000,000 | indirect | see footnote | ||||
CLASS B COMMON STOCK | 0.0 | deemed execution date | 0 ( ) | class a common stock 1,000,000 | $0.00 | 1,000,000 | indirect | see footnote |
ID | 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. |
f2 | shares sold pursuant to a 10b5-1 trading plan adopted august 19, 2022. |
f3 | the shares were sold at prices ranging from $21.79 to $22.78. 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 $22.79 to $23.35. the reporting person will provide to the sec, the issuer or security holder of theissuer, 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 are held by the edward j. kreps and jamaica h. kreps 2018 revocable trust. |
f6 | the shares are held by the gst exempt trust under the kreps family 2019 irrevocable trust under agreement dated 9/26/2019. |
f7 | the shares are held by the gst exempt trust under the kreps family 2019 irrevocable trust under agreement dated 9/26/2019. |