Tomlinson Steffan's Form 4 filing
Confluent, Inc. (CFLT) · filed Nov 12, 2021
- Accession no.
- 0001209191-21-064376
- Filed
- Nov 12, 2021
- Trade date
- Nov 11-12, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 14 non-derivative transactions and 6 derivative transactions. Open-market sales total $67.0M. It was filed 1 day 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 |
|---|---|
| Tomlinson SteffanCIK 0001393402 | Officer (Chief Financial Officer) |
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 11, 2021 | Class A Common Stock | CConversionAcquired | +722,600 | –F1 | – | 722,600 | Direct | |
| Nov 11, 2021 | Class A Common Stock | SSaleDisposed | −48,741 | $87.85F3 | −$4,281,896.85 | 673,859 | Direct | |
| Nov 11, 2021 | Class A Common Stock | SSaleDisposed | −168,839 | $88.39F4 | −$14,923,679.21 | 505,020 | Direct | |
| Nov 11, 2021 | Class A Common Stock | SSaleDisposed | −387,878 | $89.49F5 | −$34,711,202.22 | 117,142 | Direct | |
| Nov 11, 2021 | Class A Common Stock | SSaleDisposed | −88,258 | $90.38F6 | −$7,976,758.04 | 28,884 | Direct | |
| Nov 11, 2021 | Class A Common Stock | SSaleDisposed | −28,884 | $91.20F7 | −$2,634,220.8 | 0 | Direct | |
| Nov 12, 2021 | Class A Common Stock | CConversionAcquired | +27,400 | –F1 | – | 27,400 | Direct | |
| Nov 12, 2021 | Class A Common Stock | SSaleDisposed | −4,387 | $88.34F8 | −$387,547.58 | 23,013 | Direct | |
| Nov 12, 2021 | Class A Common Stock | SSaleDisposed | −9,456 | $89.20F9 | −$843,475.2 | 13,557 | Direct | |
| Nov 12, 2021 | Class A Common Stock | SSaleDisposed | −7,157 | $89.94F10 | −$643,700.58 | 6,400 | Direct | |
| Nov 12, 2021 | Class A Common Stock | SSaleDisposed | −2,000 | $91.04F11 | −$182,080 | 4,400 | Direct | |
| Nov 12, 2021 | Class A Common Stock | SSaleDisposed | −2,600 | $92.30F12 | −$239,980 | 1,800 | Direct | |
| Nov 12, 2021 | Class A Common Stock | SSaleDisposed | −1,600 | $93.25F13 | −$149,200 | 200 | Direct | |
| Nov 12, 2021 | Class A Common Stock | SSaleDisposed | −200 | $93.82F14 | −$18,764 | 0 | Direct |
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 11, 2021 | Class B Common Stock | MOption exerciseDisposed | −722,600 | $0.00 | $0 | 2,584,209 | Direct | |
| Nov 11, 2021 | Class A Common Stock | MOption exerciseAcquired | +722,600 | $0.00 | $0 | 722,600 | Direct | |
| Nov 11, 2021 | Class A Common Stock | CConversionDisposed | −722,600 | $0.00 | $0 | 0 | Direct | |
| Nov 12, 2021 | Class B Common Stock | MOption exerciseDisposed | −27,400 | $0.00 | $0 | 2,556,809 | Direct | |
| Nov 12, 2021 | Class A Common Stock | MOption exerciseAcquired | +27,400 | $0.00 | $0 | 27,400 | Direct | |
| Nov 12, 2021 | Class A Common Stock | CConversionDisposed | −27,400 | $0.00 | $0 | 0 | Direct |
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.
- F1
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.
Referenced by the price of 2 transactions in Table I.
- F3
The shares were sold at prices ranging from $87.03 to $88.02. 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.
Referenced by the price of 1 transaction in Table I.
- F4
The shares were sold at prices ranging from $88.03 to $89.02. 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.
Referenced by the price of 1 transaction in Table I.
- F5
The shares were sold at prices ranging from $89.03 to $90.02. 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.
Referenced by the price of 1 transaction in Table I.
- F6
The shares were sold at prices ranging from $90.03 to $91.02. 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.
Referenced by the price of 1 transaction in Table I.
- F7
The shares were sold at prices ranging from $91.03 to $91.50. 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.
Referenced by the price of 1 transaction in Table I.
- F8
The shares were sold at prices ranging from $87.64 to $88.61. 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.
Referenced by the price of 1 transaction in Table I.
- F9
The shares were sold at prices ranging from $88.64 to $89.63. 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.
Referenced by the price of 1 transaction in Table I.
- F10
The shares were sold at prices ranging from $89.65 to $90.62. 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.
Referenced by the price of 1 transaction in Table I.
- F11
The shares were sold at prices ranging from $90.65 to $91.57. 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.
Referenced by the price of 1 transaction in Table I.
- F12
The shares were sold at prices ranging from $91.67 to $92.65. 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.
Referenced by the price of 1 transaction in Table I.
- F13
The shares were sold at prices ranging from $92.81 to $93.77. 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.
Referenced by the price of 1 transaction in Table I.
- F14
The shares were sold at prices ranging from $93.81 to $93.82. 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.
Referenced by the price of 1 transaction in Table I.