Lasky Mitchell's Form 4 filing
Confluent, Inc. (CFLT) · filed Nov 16, 2021
- Accession no.
- 0001104659-21-140209
- Filed
- Nov 16, 2021, 9:40 PM ET
- Trade date
- Nov 12-15, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 30 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.01M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Lasky MitchellCIK 0001091435 | 10% Owner |
| Gurley J WilliamCIK 0001190191 | 10% Owner |
| Spurlock Steven MCIK 0001190193 | 10% Owner |
| Fenton Peter HCIK 0001219230 | 10% Owner |
| Cohler MattCIK 0001572685 | 10% Owner |
| Puttagunta ChetanCIK 0001695859 | 10% Owner |
| Tavel Sarah ECIK 0001774645 | 10% Owner |
| Hu An-YenCIK 0001825956 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 12, 2021 | Class A Common Stock | CConversionAcquired | +3,862,593 | $0.00 | $0 | 3,862,593 | Indirect | Duplicate filing |
| Nov 12, 2021 | Class A Common Stock | JOtherDisposed | −3,862,593 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Nov 12, 2021 | Class A Common Stock | JOtherAcquired | +22,638 | $0.00 | $0 | 452,472 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −87 | $82.23F4 | −$7,153.59 | 452,385 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −174 | $83.46F5 | −$14,522.58 | 452,211 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −2,282 | $84.55F6 | −$192,945.15 | 449,929 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −1,217 | $85.24F7 | −$103,740.12 | 448,712 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −491 | $86.29F8 | −$42,368.54 | 448,221 | Indirect | |
| Nov 12, 2021 | Class A Common Stock | JOtherAcquired | +90,484 | $0.00 | $0 | 1,509,420 | Indirect | |
| Nov 12, 2021 | Class A Common Stock | JOtherAcquired | +36,300 | $0.00 | $0 | 1,201,394 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −178 | $82.23F4 | −$14,636.09 | 1,201,216 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −358 | $83.46F5 | −$29,879.79 | 1,200,858 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −4,679 | $84.55F6 | −$395,613.66 | 1,196,179 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −2,495 | $85.24F7 | −$212,680.04 | 1,193,684 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −1,007 | $86.29F8 | −$86,894.33 | 1,192,677 | Indirect | |
| Nov 12, 2021 | Class A Common Stock | JOtherAcquired | +10,347 | $0.00 | $0 | 10,347 | Indirect | |
| Nov 12, 2021 | Class A Common Stock | JOtherAcquired | +47,549 | $0.00 | $0 | 1,466,486 | Indirect | |
| Nov 12, 2021 | Class A Common Stock | JOtherAcquired | +20,694 | $0.00 | $0 | 20,694 | Indirect | |
| Nov 12, 2021 | Class A Common Stock | JOtherAcquired | +37,201 | $0.00 | $0 | 1,456,137 | Indirect | |
| Nov 12, 2021 | Class A Common Stock | JOtherAcquired | +4,397 | $0.00 | $0 | 960,063 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −193 | $82.23F4 | −$15,869.46 | 959,870 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −388 | $83.46F5 | −$32,383.68 | 959,482 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −5,074 | $84.55F6 | −$429,011.27 | 954,408 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −2,705 | $85.24F7 | −$230,580.96 | 951,703 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −1,092 | $86.29F8 | −$94,229.01 | 950,611 | Indirect | |
| Nov 12, 2021 | Class A Common Stock | JOtherAcquired | +42 | $0.00 | $0 | 11,952 | Indirect | |
| Nov 12, 2021 | Class A Common Stock | JOtherAcquired | +48 | $0.00 | $0 | 2,125 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −43 | $82.23F4 | −$3,535.68 | 2,082 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −87 | $83.46F5 | −$7,261.29 | 1,995 | Indirect | |
| Nov 15, 2021 | Class A Common Stock | SSaleDisposed | −1,141 | $84.55F6 | −$96,472.58 | 854 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 12, 2021 | Class A Common Stock | CConversionDisposed | −3,862,593 | $0.00 | $0 | 21,886,032 | Indirect | Duplicate filing |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F4
Represents the weighted-average sale price per share of a series of transactions, all of which were executed on November 15, 2021. The actual sale prices ranged from a low of $81.86 to a high of $82.76, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Confluent, Inc. or any security holder of Confluent, Inc. full information regarding the number of shares sold at each price within the range. The amount reflected has been rounded to 4 decimal points.
Referenced by the price of 4 transactions in Table I.
- F5
Represents the weighted-average sale price per share of a series of transactions, all of which were executed on November 15, 2021. The actual sale prices ranged from a low of $82.93 to a high of $83.86, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Confluent, Inc. or any security holder of Confluent, Inc. full information regarding the number of shares sold at each price within the range. The amount reflected has been rounded to 4 decimal points.
Referenced by the price of 4 transactions in Table I.
- F6
Represents the weighted-average sale price per share of a series of transactions, all of which were executed on November 15, 2021. The actual sale prices ranged from a low of $83.94 to a high of $84.935, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Confluent, Inc. or any security holder of Confluent, Inc. full information regarding the number of shares sold at each price within the range. The amount reflected has been rounded to 4 decimal points.
Referenced by the price of 4 transactions in Table I.
- F7
Represents the weighted-average sale price per share of a series of transactions, all of which were executed on November 15, 2021. The actual sale prices ranged from a low of $84.95 to a high of $85.94 inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Confluent, Inc. or any security holder of Confluent, Inc. full information regarding the number of shares sold at each price within the range. The amount reflected has been rounded to 4 decimal points.
Referenced by the price of 3 transactions in Table I.
- F8
Represents the weighted-average sale price per share of a series of transactions, all of which were executed on November 15, 2021. The actual sale prices ranged from a low of $85.95 to a high of $86.595, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Confluent, Inc. or any security holder of Confluent, Inc. full information regarding the number of shares sold at each price within the range. The amount reflected has been rounded to 4 decimal points.
Referenced by the price of 3 transactions in Table I.
Remarks
This report is one of four reports, each on a separate Form 4, but relating to the same holdings being filed by entities affiliated with Benchmark and their applicable members.