# EDGAR Filing Document

**Accession Number:** 0001393402
**File Stem:** 0001209191-23-007945
**Filing Date:** 2023-2
**Character Count:** 9287
**Document Hash:** 3337f5d67e9c1820cd7d257596cd2d50
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-007945.hdr.sgml**: 20230208

**ACCESSION NUMBER**: 0001209191-23-007945

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230206

**FILED AS OF DATE**: 20230208

**DATE AS OF CHANGE**: 20230208

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Tomlinson Steffan
- **CENTRAL INDEX KEY:** 0001393402

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40526
- **FILM NUMBER:** 23600841

**MAIL ADDRESS:**
- **STREET 1:** PALO ALTO NETWORKS, INC.
- **STREET 2:** 3300 OLCOTT STREET
- **CITY:** SANTA CLARA
- **STATE:** CA
- **ZIP:** 95054
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Confluent, Inc.
- **CENTRAL INDEX KEY:** 0001699838
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-PREPACKAGED SOFTWARE [7372]
- **IRS NUMBER:** 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

[ ] 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>Tomlinson Steffan<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>2023-02-06 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Financial 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 |
| Class A Common Stock | 2023-02-06 |  | C |  | 33126 | A | <sup>(1)</sup> | 139533 | D |  |
| Class A Common Stock | 2023-02-06 |  | S |  | 33126<sup>(2)</sup> | D | 25.04<sup>(3)</sup> | 106407 | D |  |
| Class A Common Stock | 2023-02-07 |  | C |  | 112304 | A | <sup>(1)</sup> | 218711 | D |  |
| Class A Common Stock | 2023-02-07 |  | S |  | 112304<sup>(2)</sup> | D | 25.27<sup>(4)</sup> | 106407 | D |  |
| Class A Common Stock | 2023-02-08 |  | C |  | 227877 | A | <sup>(1)</sup> | 334284 | D |  |
| Class A Common Stock | 2023-02-08 |  | S |  | 227877<sup>(2)</sup> | D | 25.59<sup>(5)</sup> | 106407 | 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 |
| Stock Option (Right to Buy) | $6.65 | 2023-02-06 |  | M |  |  | 33126 | <sup>(6)</sup> | 2030-08-05 | Class B Common Stock | 33126 | $0.00 | 2496990 | D |  |
| Class B Common Stock | <sup>(1)</sup> | 2023-02-06 |  | M |  | 33126 |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 33126 | $0.00 | 33126 | D |  |
| Class B Common Stock | <sup>(1)</sup> | 2023-02-06 |  | C |  |  | 33126 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 33126 | $0.00 | 0 | D |  |
| Stock Option (Right to Buy) | $6.65 | 2023-02-07 |  | M |  |  | 112304 | <sup>(6)</sup> | 2030-08-05 | Class B Common Stock | 112304 | $0.00 | 2384686 | D |  |
| Class B Common Stock | <sup>(1)</sup> | 2023-02-07 |  | M |  | 112304 |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 112304 | $0.00 | 112304 | D |  |
| Class B Common Stock | <sup>(1)</sup> | 2023-02-07 |  | C |  |  | 112304 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 112304 | $0.00 | 0 | D |  |
| Stock Option (Right to Buy) | $6.65 | 2023-02-08 |  | M |  |  | 227877 | <sup>(6)</sup> | 2030-08-05 | Class B Common Stock | 227877 | $0.00 | 2156809 | D |  |
| Class B Common Stock | <sup>(1)</sup> | 2023-02-08 |  | C |  | 227877 |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 227877 | $0.00 | 227877 | D |  |
| Class B Common Stock | <sup>(1)</sup> | 2023-02-08 |  | C |  |  | 227877 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 227877 | $0.00 | 0 | D |  |
| Class B Common Stock | <sup>(1)</sup> |  |  |  |  |  |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 150425 |  | 150425 | I | By Family Trust |

---

### Footnotes:

(1) 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.

(2) Shares sold pursuant to a 10b5-1 trading plan.

(3) The shares were sold at prices ranging from $25.00 to $25.25. 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.

(4) The shares were sold at prices ranging from $25.00 to $25.95. 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.

(5) The shares were sold at prices ranging from $25.15 to $26.10. 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.

(6) The shares subject to the option are immediately exercisable. 25% of the shares vested on June 15, 2021 and the remainder vest in 36 equal monthly installments thereafter, subject to Reporting Person's continuous service through each such vesting date.

**Signature:** /s/ Melanie Vinson, Attorney-in-fact  
**Date:** 2023-02-08

### 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.**