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