Lasky Mitchell's Form 4 filing
Confluent, Inc.CFLT · filed Aug 10, 2022
- Accession no.
- 0001104659-22-088871
- Filed
- Aug 10, 2022, 7:58 PM ET
- Trade date
- Aug 8-9, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 17 non-derivative transactions and 1 derivative transaction. Open-market sales total $757.2K. It was filed 2 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 |
| 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 8, 2022 | Class A Common Stock | CConversionAcquired | +3,862,593 | $0.00 | $0 | 3,862,593 | Indirect | Duplicate filing |
| Aug 8, 2022 | Class A Common Stock | JOtherDisposed | −3,862,593 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Aug 8, 2022 | Class A Common Stock | JOtherAcquired | +90,484 | $0.00 | $0 | 1,599,904 | Indirect | |
| Aug 8, 2022 | Class A Common Stock | JOtherAcquired | +36,342 | $0.00 | $0 | 1,179,019 | Indirect | |
| Aug 9, 2022 | Class A Common Stock | SSaleDisposed | −8,463 | $30.68F5 | −$259,618.6 | 1,170,556 | Indirect | |
| Aug 9, 2022 | Class A Common Stock | SSaleDisposed | −2,100 | $31.55F6 | −$66,244.92 | 1,168,456 | Indirect | |
| Aug 8, 2022 | Class A Common Stock | JOtherAcquired | +10,347 | $0.00 | $0 | 20,694 | Indirect | |
| Aug 8, 2022 | Class A Common Stock | JOtherAcquired | +47,549 | $0.00 | $0 | 1,514,035 | Indirect | |
| Aug 8, 2022 | Class A Common Stock | JOtherAcquired | +20,694 | $0.00 | $0 | 20,694 | Indirect | |
| Aug 8, 2022 | Class A Common Stock | JOtherAcquired | +37,201 | $0.00 | $0 | 1,374,798 | Indirect | |
| Aug 8, 2022 | Class A Common Stock | JOtherAcquired | +4,441 | $0.00 | $0 | 955,052 | Indirect | |
| Aug 9, 2022 | Class A Common Stock | SSaleDisposed | −9,131 | $30.68F5 | −$280,110.77 | 945,921 | Indirect | |
| Aug 9, 2022 | Class A Common Stock | SSaleDisposed | −2,265 | $31.55F6 | −$71,449.88 | 943,656 | Indirect | |
| Aug 8, 2022 | Class A Common Stock | JOtherAcquired | +42 | $0.00 | $0 | 11,994 | Indirect | |
| Aug 8, 2022 | Class A Common Stock | JOtherAcquired | +951 | $0.00 | $0 | 182,756 | Indirect | |
| Aug 9, 2022 | Class A Common Stock | SSaleDisposed | −2,072 | $30.68F5 | −$63,562.54 | 180,684 | Indirect | |
| Aug 9, 2022 | Class A Common Stock | SSaleDisposed | −514 | $31.55F6 | −$16,214.23 | 180,170 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 8, 2022 | Class A Common Stock | CConversionDisposed | −3,862,593 | $0.00 | $0 | 18,023,439 | 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.
- F5
Represents the weighted-average sale price per share of a series of transactions, all of which were executed on August 9, 2022. The actual sale prices ranged from a low of $30.22 to a high of $31.18, 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.
- F6
Represents the weighted-average sale price per share of a series of transactions, all of which were executed on August 9, 2022. The actual sale prices ranged from a low of $31.22 to a high of $31.9, 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 three reports, each on a separate Form 4, but relating to the same transaction being filed by entities affiliated with Benchmark and their applicable members.