Confluent Inc.

11/22/2024 | Press release | Distributed by Public on 11/22/2024 17:00

Statement of Changes in Beneficial Ownership - Form 4

Ownership Submission
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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(Print or Type Responses)
1. Name and Address of Reporting Person *
Schultz Erica
2. Issuer Name and Ticker or Trading Symbol
Confluent, Inc. [CFLT] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
PRESIDENT, FIELD OPERATIONS
(Last) (First) (Middle)
C/O CONFLUENT, INC., 899 W. EVELYN AVENUE 		3. Date of Earliest Transaction (Month/Day/Year)
11/20/2024
(Street)
MOUNTAIN VIEW, CA 94041 		4. If Amendment, Date Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3) 		2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code
(Instr. 8) 		4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) 		5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) 		6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) 		7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 11/20/2024 S 9,467(1) D $28.23 678,016 D
Class A Common Stock 11/21/2024 C 75,000 A (2) 753,016 D
Class A Common Stock 11/21/2024 S 75,000(3) D $30.4(4) 678,016 D
Class A Common Stock 62,374 I See footnote(5)
Class A Common Stock 92,707 I See footnote(6)
Class A Common Stock 31,419 I See footnote(7)
Class A Common Stock 200,000 I See footnote(8)
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1474 (9-02)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3) 		2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code
(Instr. 8) 		5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5) 		6. Date Exercisable and Expiration Date
(Month/Day/Year) 		7. Title and Amount of Underlying Securities
(Instr. 3 and 4) 		8. Price of Derivative Security
(Instr. 5) 		9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4) 		10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4) 		11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $3.41 11/21/2024 M 75,000 (9) 12/04/2024 Class B Common Stock 75,000 $ 0 1,219,843 D
Class B Common Stock (2) 11/21/2024 M 75,000 (2) (2) Class A Common Stock 75,000 $ 0 75,000 D
Class B Common Stock (2) 11/21/2024 C 75,000 (2) (2) Class A Common Stock 75,000 $ 0 0 D

Reporting Owners

Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Schultz Erica
C/O CONFLUENT, INC.
899 W. EVELYN AVENUE
MOUNTAIN VIEW, CA 94041 		PRESIDENT, FIELD OPERATIONS

Signatures

/s/ Melanie Vinson, Attorney-in-Fact 11/22/2024
**Signature of Reporting Person Date

Explanation of Responses:

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
(1) Represents the number of shares sold by the reporting person to cover the tax obligation realized upon the vesting of restricted stock units previously reported in Table I.
(2) 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.
(3) Shares sold pursuant to a 10b5-1 trading plan dated August 15, 2024.
(4) The shares were sold at prices ranging from $30.00 to $30.80. 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.
(5) The shares are held by The Schultz Family Irrevocable Remainder Trust.
(6) The shares are held by The Bryan and Erica Schultz Family Revocable Trust.
(7) The shares are held by the Erica Schultz 2023 Annuity Trust.
(8) The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust.
(9) Fully vested.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.