Attached files
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EX-3.1 - EX-3.1 - Confluent, Inc. | d189473dex31.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): June 28, 2021
CONFLUENT, INC.
(Exact name of Registrant as Specified in Its Charter)
Delaware | 001-40526 | 41-1824387 | ||
(State or Other Jurisdiction of Incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) | ||
899 W. Evelyn Avenue Mountain View, CA |
94041 | |||
(Address of Principal Executive Offices) | (Zip Code) |
(800) 439-3207
(Registrants Telephone Number, Including Area Code)
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instructions A.2. below):
☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
Title of each class |
Trading Symbol(s) |
Name of each exchange on which registered | ||
Class A Common Stock, $0.00001 par value | CFLT | Nasdaq Global Select Market |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 3.02 Unregistered Sales of Equity Securities
On June 28, 2021, Confluent, Inc. (the Company) completed its previously disclosed planned donation of 250,000 shares
of Class A common stock to its charitable foundation, Confluent.org. The donated shares were issued in reliance on the exemption from registration contained in Section
4(a)(2) of the Securities Act of 1933, as amended, for transactions not
involving a public offering.
Item 5.03 Amendments to Articles of Incorporation or Bylaws
Amendment and Restatement of Certificate of Incorporation
On June 28, 2021, the Company filed an amended and restated certificate of incorporation (the Restated Certificate) with the Secretary of State of the State of Delaware in connection with the closing of the Companys initial public offering of shares of Class A common stock (the IPO). The Companys board of directors and stockholders previously approved the Restated Certificate to be effective upon the closing of the IPO. The Restated Certificate is attached hereto as Exhibit 3.1 and is incorporated herein by reference.
Amendment and Restatement of Bylaws
On June 28, 2021, the Companys Amended and Restated Bylaws (the Restated Bylaws) became effective in connection with the closing of the IPO. The Companys board of directors and stockholders previously approved the Restated Bylaws to be effective upon the closing of the IPO. The Restated Bylaws are attached hereto as Exhibit 3.2 and are incorporated herein by reference.
Please see the description of the Restated Certificate and the Restated Bylaws in the section titled Description of Capital Stock in the final prospectus the Company filed with the Securities and Exchange Commission on June 25, 2021 pursuant to Rule 424(b) under the Securities Act of 1933, as amended, relating to the Registration Statement on Form S-1, as amended (File No. 333-256693).
Item 9.01 Financial Statements and Exhibits.
(d) | Exhibits |
Exhibit No. |
Description | |
3.1 | Amended and Restated Certificate of Incorporation of Confluent, Inc. | |
3.2(1) | Amended and Restated Bylaws of Confluent, Inc. |
(1) | Previously filed as Exhibit 3.4 to the Companys Registration Statement on Form S-1, as amended (File No. 333-256693), filed with the Securities and Exchange Commission on June 16, 2021, and incorporated herein by reference. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Confluent, Inc. | ||||||||
Dated: June 28, 2021 | ||||||||
By: | /s/ Steffan Tomlinson | |||||||
Steffan Tomlinson | ||||||||
Chief Financial Officer |
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