# EDGAR Filing Document

**Accession Number:** 0001699838
**File Stem:** 0001868976-26-000004
**Filing Date:** 2026-3
**Character Count:** 8647
**Document Hash:** e5ec3b385a69fc72a1b2f73332beab59
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001868976-26-000004.hdr.sgml**: 20260319

**ACCESSION NUMBER**: 0001868976-26-000004

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20260317

**FILED AS OF DATE**: 20260319

**DATE AS OF CHANGE**: 20260319

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Kreps Edward Jay
- **CENTRAL INDEX KEY:** 0001868976

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40526
- **FILM NUMBER:** 26775446

**MAIL ADDRESS:**
- **STREET 1:** C/O CONFLUENT, INC.
- **STREET 2:** 899 W. EVELYN AVENUE
- **CITY:** MOUNTAIN VIEW
- **STATE:** CA
- **ZIP:** 94041
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Confluent, Inc.
- **CENTRAL INDEX KEY:** 0001699838
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-PREPACKAGED SOFTWARE [7372]
- **ORGANIZATION NAME:** 06 Technology
- **EIN:** 471824387
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 899 W. EVELYN AVENUE
- **CITY:** MOUNTAIN VIEW
- **STATE:** CA
- **ZIP:** 94041
- **BUSINESS PHONE:** 800-439-3207

**MAIL ADDRESS:**
- **STREET 1:** 899 W. EVELYN AVENUE
- **CITY:** MOUNTAIN VIEW
- **STATE:** CA
- **ZIP:** 94041

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[x] 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 for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Kreps Edward Jay<br><sub>(Last) (First) (Middle)</sub><br>C/O CONFLUENT, INC.<br>899 W. EVELYN AVENUE<br><sub>(Street)</sub><br>MOUNTAIN VIEW, CA 94041<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2026-03-17 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CHIEF EXECUTIVE OFFICER_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Confluent, Inc. [ CFLT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | 2026-03-17 |  | D |  | 301660 | D | <sup>(1)(2)</sup> | 0 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Class B Common Stock | <sup>(3)</sup> | 2026-03-17 |  | D |  |  | 14017500 | <sup>(3)</sup> | <sup>(3)</sup> | Class A Common Stock | 14017500 | <sup>(4)</sup> | 0 | D |  |
| Class B Common Stock | <sup>(3)</sup> | 2026-03-17 |  | D |  |  | 149984 | <sup>(3)</sup> | <sup>(3)</sup> | Class A Common Stock | 149984 | <sup>(4)</sup> | 0 | I | See footnote<sup>(5)</sup> |
| Class B Common Stock | <sup>(3)</sup> | 2026-03-17 |  | D |  |  | 1000000 | <sup>(3)</sup> | <sup>(3)</sup> | Class A Common Stock | 1000000 | <sup>(4)</sup> | 0 | I | See footnote<sup>(6)</sup> |
| Class B Common Stock | <sup>(3)</sup> | 2026-03-17 |  | D |  |  | 1000000 | <sup>(3)</sup> | <sup>(3)</sup> | Class A Common Stock | 1000000 | <sup>(4)</sup> | 0 | I | See footnote<sup>(7)</sup> |
| Stock Option (Right to Buy) | $2.24 | 2026-03-17 |  | D |  |  | 1219153 | <sup>(8)</sup> | 2028-10-21 | Class A Common Stock | 1219153 | <sup>(8)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $2.24 | 2026-03-17 |  | D |  |  | 1725153 | <sup>(8)</sup> | 2028-10-21 | Class A Common Stock | 1725153 | <sup>(8)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $15.68 | 2026-03-17 |  | D |  |  | 2347999 | <sup>(8)</sup> | 2031-03-18 | Class A Common Stock | 2347999 | <sup>(8)</sup> | 0 | D |  |

---

### Footnotes:

(1) Pursuant to the Agreement and Plan of Merger, dated December 7, 2025, by and among the Issuer, International Business Machines Corporation ("IBM") and Corvo Merger Sub, Inc. (the "Merger Agreement"), each share of Issuer Class A Common Stock was canceled and converted into the right to receive $31.00 per share in cash (the "Merger Consideration" or the "Per Share Price"), without interest and subject to applicable withholding taxes.

(2) Pursuant to the Merger Agreement, each outstanding RSU was assumed by IBM and converted into restricted stock units for 37,778 shares of IBM common stock.

(3) Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the Reporting Person and has no expiration date.

(4) Pursuant to the Merger Agreement, each share of Issuer Class B Common Stock was canceled and converted into the right to receive the Per Share Price, without interest and subject to applicable withholding taxes.

(5) The shares are held by The Edward J. Kreps and Jamaica H. Kreps 2018 Revocable Trust.

(6) The shares are held by the GST Exempt Trust under The Kreps Family 2019 Irrevocable Trust under agreement dated September 26, 2019.

(7) The shares are held by the GST Exempt Trust under The Kreps Family 2019 Irrevocable Trust under agreement dated September 26, 2019.

(8) The shares subject to the option are fully vested and immediately exercisable. Pursuant to the Merger Agreement, the option was canceled in exchange for the right to receive an amount in cash, subject to applicable withholding taxes, equal to the product of (a) the total number of shares of Issuer common stock covered by such option immediately prior to the Effective Time (as defined in the Merger Agreement) multiplied by (b) the excess of (1) the Per Share Price over (2) the per share exercise price of such option.

**Signature:** /s/ Weilyn Wood, Attorney-in-Fact  
**Date:** 2026-03-19

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**