0001209191-23-035577.txt : 20230608
0001209191-23-035577.hdr.sgml : 20230608
20230608191332
ACCESSION NUMBER: 0001209191-23-035577
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230606
FILED AS OF DATE: 20230608
DATE AS OF CHANGE: 20230608
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Schultz Erica
CENTRAL INDEX KEY: 0001542687
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40526
FILM NUMBER: 231003416
MAIL ADDRESS:
STREET 1: C/O NEW RELIC, INC.
STREET 2: 188 SPEAR STREET, STE. 1200
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94105
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Confluent, Inc.
CENTRAL INDEX KEY: 0001699838
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 471824387
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 899 W. EVELYN AVENUE
CITY: MOUNTAIN VIEW
STATE: CA
ZIP: 94041
BUSINESS PHONE: 800-439-3207
MAIL ADDRESS:
STREET 1: 899 W. EVELYN AVENUE
CITY: MOUNTAIN VIEW
STATE: CA
ZIP: 94041
4
1
doc4.xml
FORM 4 SUBMISSION
X0407
4
2023-06-06
0
0001699838
Confluent, Inc.
CFLT
0001542687
Schultz Erica
C/O CONFLUENT, INC.
899 W. EVELYN AVENUE
MOUNTAIN VIEW
CA
94041
0
1
0
0
President, Field Operations
1
Class A Common Stock
2023-06-06
4
C
0
100000
A
579537
D
Class A Common Stock
2023-06-06
4
S
0
100000
36.11
D
479537
D
Class A Common Stock
2023-06-07
4
G
0
40487
0.00
D
0
I
See footnote
Class A Common Stock
2023-06-07
4
G
0
40487
0.00
A
40487
I
See footnote
Class A Common Stock
11500
I
See footnote
Class A Common Stock
55422
I
See footnote
Class A Common Stock
79091
I
See footnote
Class A Common Stock
13500
I
See footnote
Class A Common Stock
200000
I
See footnote
Stock Option (Right to Buy)
3.41
2023-06-06
4
M
0
100000
0.00
D
2029-12-04
Class B Common Stock
100000
2229675
D
Class B Common Stock
2023-06-06
4
M
0
100000
0.00
A
Class A Common Stock
100000
100000
D
Class B Common Stock
2023-06-06
4
C
0
100000
0.00
D
Class A Common Stock
100000
0
D
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.
Shares sold pursuant to a 10b5-1 trading plan.
The shares were sold at prices ranging from $36.00 to $36.41. 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.
Represents a share distribution from the holder to The Schultz Family Irrevocable Remainder Trust.
The shares are held by The Erica Schultz 2021 Annuity Trust.
Represents a share distribution received from The Erica Schultz 2021 Annuity Trust.
The shares are held by The Schultz Family Irrevocable Remainder Trust. The reporting person has beneficial ownership over the shares held by The Schultz Family Irrevocable Remainder Trust.
The shares are held by The Bryan and Erica Schultz Family Revocable Trust.
The shares are held by the Erica Schultz 2022 Annuity Trust.
The shares are held by the Erica Schultz 2023 Annuity Trust.
The shares are held by The Ruliffson Schultz Extended Family Trust.
The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust.
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.
/s/ Melanie Vinson, Attorney-in-fact
2023-06-08