Sec Form 4 Filing - Tomlinson Steffan @ Confluent, Inc. - 2021-11-11

FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person Tomlinson Steffan 2. Issuer Name and Ticker or Trading Symbol Confluent, Inc. [ CFLT] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) _____ Director _____ 10% Owner X __ Officer (give title below) _____ Other (specify below) Chief Financial Officer (Last) (First) (Middle) C/O CONFLUENT, INC., 899 W. EVELYN AVENUE 3. Date of Earliest Transaction (MM/DD/YY) 11/11/2021 (Street) MOUNTAIN VIEW, CA94041 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Class A Common Stock 11/11/2021 C 722,600 A 722,600 D Class A Common Stock 11/11/2021 S 48,741( 2 ) D $ 87.85( 3 ) 673,859 D Class A Common Stock 11/11/2021 S 168,839( 2 ) D $ 88.39( 4 ) 505,020 D Class A Common Stock 11/11/2021 S 387,878( 2 ) D $ 89.49( 5 ) 117,142 D Class A Common Stock 11/11/2021 S 88,258( 2 ) D $ 90.38( 6 ) 28,884 D Class A Common Stock 11/11/2021 S 28,884( 2 ) D $ 91.2( 7 ) 0 D Class A Common Stock 11/12/2021 C 27,400 A 27,400 D Class A Common Stock 11/12/2021 S 4,387( 2 ) D $ 88.34( 8 ) 23,013 D Class A Common Stock 11/12/2021 S 9,456( 2 ) D $ 89.2( 9 ) 13,557 D Class A Common Stock 11/12/2021 S 7,157( 2 ) D $ 89.94( 10 ) 6,400 D Class A Common Stock 11/12/2021 S 2,000( 2 ) D $ 91.04( 11 ) 4,400 D Class A Common Stock 11/12/2021 S 2,600( 2 ) D $ 92.3( 12 ) 1,800 D Class A Common Stock 11/12/2021 S 1,600( 2 ) D $ 93.25( 13 ) 200 D Class A Common Stock 11/12/2021 S 200( 2 ) D $ 93.82( 14 ) 0 D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares Stock Option (Right to Buy) $ 6.65 11/11/2021 M 722,600 ( 15 ) 08/05/2030 Class B Common Stock 722,600 $ 0 2,584,209 D Class B Common Stock ( 1 ) 11/11/2021 M 722,600 ( 1 ) ( 1 ) Class A Common Stock 722,600 $ 0 722,600 D Class B Common Stock ( 1 ) 11/11/2021 C 722,600 ( 1 ) ( 1 ) Class A Common Stock 722,600 $ 0 0 D Stock Option (Right to Buy) $ 6.65 11/12/2021 M 27,400 ( 15 ) 08/05/2030 Class B Common Stock 27,400 $ 0 2,556,809 D Class B Common Stock ( 1 ) 11/12/2021 M 27,400 ( 1 ) ( 1 ) Class A Common Stock 27,400 $ 0 27,400 D Class B Common Stock ( 1 ) 11/12/2021 C 27,400 ( 1 ) ( 1 ) Class A Common Stock 27,400 $ 0 0 D Class B Common Stock ( 1 ) ( 1 ) ( 1 ) Class A Common Stock 150,425 150,425 I By Family Trust

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Tomlinson Steffan C/O CONFLUENT, INC. 899 W. EVELYN AVENUE MOUNTAIN VIEW, CA94041 Chief Financial Officer Signatures /s/ Melanie Vinson, Attorney-in-fact 11/12/2021 Signature of Reporting Person Date

Explanation of Responses:

( 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 $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. ( 4 )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. ( 5 )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. ( 6 )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. ( 7 )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. ( 8 )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. ( 9 )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. ( 10 )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. ( 11 )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. ( 12 )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. ( 13 )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. ( 14 )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. ( 15 )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.

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).

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