Tomlinson Steffan's Form 4 filing
Confluent, Inc. (CFLT) · filed Nov 15, 2022
- Accession no.
- 0001209191-22-057192
- Filed
- Nov 15, 2022
- Trade date
- Nov 11-12, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 3 derivative transactions. Open-market sales total $384.8K. 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 |
|---|---|
| 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, 2022 | Class A Common Stock | CConversionAcquired | +15,393 | –F1 | – | 121,800 | Direct | |
| Nov 11, 2022 | Class A Common Stock | SSaleDisposed | −15,393 | $25.00 | −$384,825 | 106,407 | 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, 2022 | Class B Common Stock | MOption exerciseDisposed | −15,393 | $0.00 | $0 | 2,541,416 | Direct | |
| Nov 12, 2022 | Class A Common Stock | MOption exerciseAcquired | +15,393 | $0.00 | $0 | 15,393 | Direct | |
| Nov 12, 2022 | Class A Common Stock | CConversionDisposed | −15,393 | $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 1 transaction in Table I.