0001209191-23-035231.txt : 20230607 0001209191-23-035231.hdr.sgml : 20230607 20230607193053 ACCESSION NUMBER: 0001209191-23-035231 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230605 FILED AS OF DATE: 20230607 DATE AS OF CHANGE: 20230607 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Buscemi Stephanie CENTRAL INDEX KEY: 0001567190 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40526 FILM NUMBER: 231000335 MAIL ADDRESS: STREET 1: C/O IHS INC. STREET 2: 15 INVERNESS EAST WAY CITY: ENGLEWOOD STATE: CO ZIP: 80107 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 2023-06-05 0 0001699838 Confluent, Inc. CFLT 0001567190 Buscemi Stephanie C/O CONFLUENT, INC. 899 W. EVELYN AVENUE MOUNTAIN VIEW CA 94041 0 1 0 0 Chief Marketing Officer 1 Class A Common Stock 2023-06-05 4 C 0 50000 A 167519 D Class A Common Stock 2023-06-05 4 S 0 50000 35.01 D 117519 D Stock Option (Right to Buy) 15.68 2023-06-05 4 M 0 50000 0.00 D 2031-03-19 Class B Common Stock 50000 937692 D Class B Common Stock 2023-06-05 4 M 0 50000 0.00 A Class A Common Stock 50000 50000 D Class B Common Stock 2023-06-05 4 C 0 50000 0.00 D Class A Common Stock 50000 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 $35.00 to $35.08. 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. Twenty-five percent of the shares subject to the option vested on 3/8/2022 and the balance of the shares vest monthly thereafter for the following 3 years, subject to the reporting person's continued service as of each such vesting date. /s/ Melanie Vinson, Attorney-in-fact 2023-06-07