0001209191-23-046134.txt : 20230816 0001209191-23-046134.hdr.sgml : 20230816 20230816194709 ACCESSION NUMBER: 0001209191-23-046134 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230814 FILED AS OF DATE: 20230816 DATE AS OF CHANGE: 20230816 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kreps Edward Jay CENTRAL INDEX KEY: 0001868976 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40526 FILM NUMBER: 231179533 MAIL ADDRESS: STREET 1: C/O CONFLUENT, INC. STREET 2: 899 W. EVELYN AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94041 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 X0508 4 2023-08-14 0 0001699838 Confluent, Inc. CFLT 0001868976 Kreps Edward Jay C/O CONFLUENT, INC. 899 W. EVELYN AVENUE MOUNTAIN VIEW CA 94041 1 1 0 0 Chief Executive Officer 1 Class A Common Stock 2023-08-14 4 C 0 232500 A 232500 D Class A Common Stock 2023-08-14 4 S 0 230711 33.42 D 1789 D Class A Common Stock 2023-08-14 4 S 0 1789 34.00 D 0 D Class B Common Stock 2023-08-14 4 C 0 232500 0.00 D Class A Common Stock 232500 18202500 D Class B Common Stock Class A Common Stock 149984 149984 I See footnote Class B Common Stock Class A Common Stock 1000000 1000000 I See footnote Class B Common Stock Class A Common Stock 1000000 1000000 I See footnote 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 adopted August 19, 2022. The shares were sold at prices ranging from $32.98 to $33.97. 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. The shares were sold at prices ranging from $33.98 to $34.06. 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. The shares are held by The Edward J. Kreps and Jamaica H. Kreps 2018 Revocable Trust. The shares are held by the GST Exempt Trust under The Kreps Family 2019 Irrevocable Trust under agreement dated 9/26/2019. The shares are held by the GST Exempt Trust under The Kreps Family 2019 Irrevocable Trust under agreement dated 9/26/2019. /s/ Melanie Vinson, Attorney-in-fact 2023-08-16