0001209191-23-007945.txt : 20230208
0001209191-23-007945.hdr.sgml : 20230208
20230208211544
ACCESSION NUMBER: 0001209191-23-007945
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230206
FILED AS OF DATE: 20230208
DATE AS OF CHANGE: 20230208
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Tomlinson Steffan
CENTRAL INDEX KEY: 0001393402
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40526
FILM NUMBER: 23600841
MAIL ADDRESS:
STREET 1: PALO ALTO NETWORKS, INC.
STREET 2: 3300 OLCOTT STREET
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
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
X0306
4
2023-02-06
0
0001699838
Confluent, Inc.
CFLT
0001393402
Tomlinson Steffan
C/O CONFLUENT, INC.
899 W. EVELYN AVENUE
MOUNTAIN VIEW
CA
94041
0
1
0
0
Chief Financial Officer
Class A Common Stock
2023-02-06
4
C
0
33126
A
139533
D
Class A Common Stock
2023-02-06
4
S
0
33126
25.04
D
106407
D
Class A Common Stock
2023-02-07
4
C
0
112304
A
218711
D
Class A Common Stock
2023-02-07
4
S
0
112304
25.27
D
106407
D
Class A Common Stock
2023-02-08
4
C
0
227877
A
334284
D
Class A Common Stock
2023-02-08
4
S
0
227877
25.59
D
106407
D
Stock Option (Right to Buy)
6.65
2023-02-06
4
M
0
33126
0.00
D
2030-08-05
Class B Common Stock
33126
2496990
D
Class B Common Stock
2023-02-06
4
M
0
33126
0.00
A
Class A Common Stock
33126
33126
D
Class B Common Stock
2023-02-06
4
C
0
33126
0.00
D
Class A Common Stock
33126
0
D
Stock Option (Right to Buy)
6.65
2023-02-07
4
M
0
112304
0.00
D
2030-08-05
Class B Common Stock
112304
2384686
D
Class B Common Stock
2023-02-07
4
M
0
112304
0.00
A
Class A Common Stock
112304
112304
D
Class B Common Stock
2023-02-07
4
C
0
112304
0.00
D
Class A Common Stock
112304
0
D
Stock Option (Right to Buy)
6.65
2023-02-08
4
M
0
227877
0.00
D
2030-08-05
Class B Common Stock
227877
2156809
D
Class B Common Stock
2023-02-08
4
C
0
227877
0.00
A
Class A Common Stock
227877
227877
D
Class B Common Stock
2023-02-08
4
C
0
227877
0.00
D
Class A Common Stock
227877
0
D
Class B Common Stock
Class A Common Stock
150425
150425
I
By Family Trust
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 $25.00 to $25.25. 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 $25.00 to $25.95. 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 $25.15 to $26.10. 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 subject to the option are immediately exercisable. 25% of the shares vested on June 15, 2021 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
2023-02-08