Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-22-058005
Date:2022-11-16
Issuer: CONFLUENT, INC. (CFLT)
Original Submission Date:

Reporting Person:

KREPS EDWARD JAY
C/O CONFLUENT, INC.
899 W. EVELYN AVENUE MOUNTAIN VIEW, CA 94041

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature 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
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
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.
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