0001209191-23-035234.txt : 20230607 0001209191-23-035234.hdr.sgml : 20230607 20230607193233 ACCESSION NUMBER: 0001209191-23-035234 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: Tomlinson Steffan CENTRAL INDEX KEY: 0001393402 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40526 FILM NUMBER: 231000339 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 X0407 4 2023-06-05 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 1 Class A Common Stock 2023-06-05 4 C 0 66667 A 380338 D Class A Common Stock 2023-06-05 4 S 0 66667 35.03 D 313671 D Stock Option (Right to Buy) 6.65 2023-06-05 4 M 0 66667 0.00 D 2030-08-05 Class B Common Stock 66667 2023475 D Class B Common Stock 2023-06-05 4 C 0 66667 0.00 A Class A Common Stock 66667 66667 D Class B Common Stock 2023-06-05 4 C 0 66667 0.00 D Class A Common Stock 66667 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 $35.00 to $35.19. 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 2023-06-07