0000899243-23-014248.txt : 20230601 0000899243-23-014248.hdr.sgml : 20230601 20230601163011 ACCESSION NUMBER: 0000899243-23-014248 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230530 FILED AS OF DATE: 20230601 DATE AS OF CHANGE: 20230601 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Volpi Michelangelo CENTRAL INDEX KEY: 0001626464 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40526 FILM NUMBER: 23985144 MAIL ADDRESS: STREET 1: C/O HORTONWORKS, INC. STREET 2: 3640 W. BAYSHORE RD. CITY: PALO ALTO STATE: CA ZIP: 94303 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 4 1 doc4.xml FORM 4 SUBMISSION X0407 4 2023-05-30 0 0001699838 Confluent, Inc. CFLT 0001626464 Volpi Michelangelo C/O CONFLUENT, INC. 899 W. EVELYN AVENUE MOUNTAIN VIEW CA 94041 1 0 0 0 0 Class A Common Stock 2023-05-30 4 C 0 1129352 0.00 A 1129352 I By Index Ventures VII (Jersey) L.P. Class A Common Stock 2023-05-30 4 C 0 27984 0.00 A 27984 I By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Class A Common Stock 2023-05-30 4 C 0 310588 0.00 A 310588 I By Index Ventures Growth IV (Jersey) L.P. Class A Common Stock 2023-05-30 4 C 0 22995 0.00 A 22995 I By Yucca (Jersey) SLP Class A Common Stock 2023-05-30 4 S 0 310588 30.8719 D 0 I By Index Ventures Growth IV (Jersey) L.P. Class A Common Stock 2023-05-30 4 S 0 8047 30.8719 D 14948 I By Yucca (Jersey) SLP Class A Common Stock 2023-05-31 4 J 0 1129352 0.00 D 0 I By Index Ventures VII (Jersey) L.P. Class A Common Stock 2023-05-31 4 J 0 27984 0.00 D 0 I By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Class A Common Stock 2023-05-31 4 J 0 289334 0.00 D 0 I By Index Venture Associates VII Limited Class A Common Stock 2023-05-31 4 J 0 14948 0.00 D 0 I By Yucca (Jersey) SLP Class A Common Stock 181987 D Class A Common Stock 95846 I By Trust Class B Common Stock 2023-05-30 4 C 0 1129352 0.00 D Class A Common Stock 1129352 9034815 I By Index Ventures VII (Jersey) L.P. Class B Common Stock 2023-05-30 4 C 0 27984 0.00 D Class A Common Stock 27984 223874 I By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Class B Common Stock 2023-05-30 4 C 0 310588 0.00 D Class A Common Stock 310588 2484702 I By Index Ventures Growth IV (Jersey) L.P. Class B Common Stock 2023-05-30 4 C 0 22995 0.00 D Class A Common Stock 22995 183964 I By Yucca (Jersey) SLP On May 30, 2023, Index Ventures VII (Jersey) L.P. ("Index VII") converted in the aggregate 1,129,352 shares of the Issuer's Class B Common Stock into 1,129,352 shares of the Issuer's Class A Common Stock. Subsequently, on May 31, 2023, Index VII distributed in-kind, without consideration, 1,129,352 shares of Class A Common Stock pro-rata to its limited partners and its general partner, Index Venture Associates VII Limited ("IVA VII") in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). On the same date, IVA VII distributed in-kind, without consideration, 282,338 shares of Class A Common Stock received in the Index VII distribution pro-rata to its partners, in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Exchange Act. The shares are held by Index VII. IVA VII is the general partner of Index VII. The reporting person is a partner within the Index Ventures group. Advisors within the Index Ventures group provide advice to each of Index VII, Index Ventures VII Parallel Entrepreneur Fund (Jersey), L.P. ("Index VII Parallel") and Index Ventures Growth IV (Jersey) L.P. ("Index Growth IV"). The reporting person disclaims Section 16 beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares for Section 16 or any other purpose. On May 30, 2023, Index VII Parallel converted in the aggregate 27,984 shares of the Issuer's Class B Common Stock into 27,984 shares of the Issuer's Class A Common Stock. Subsequently, on May 31, 2023 Index VII Parallel distributed in-kind, without consideration, 27,984 shares of Class A Common Stock pro-rata to its limited partners and its general partner, IVA VII in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Exchange Act. On the same date, IVA VII distributed in-kind, without consideration, 6,996 shares of Class A Common Stock received in the Index VII distribution pro-rata to its partners, in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Exchange Act. The shares are held by Index VII Parallel. IVA VII is the general partner of Index VII Parallel. The reporting person disclaims Section 16 beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares for Section 16 or any other purpose. On May 30, 2023, Index Growth IV converted in the aggregate 310,588 shares of the Issuer's Class B Common Stock into 310,588 shares of the Issuer's Class A Common Stock. The shares are held by Index Growth IV. Index Venture Growth Associates IV Limited ("IVGA IV") is the general partner of Index Growth IV. The reporting person disclaims Section 16 beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares for Section 16 or any other purpose. On May 30, 2023, Yucca (Jersey) SLP ("Yucca") converted in the aggregate 22,995 shares of the Issuer's Class B Common Stock into 22,995 shares of the Issuer's Class A Common Stock. Subsequently, on May 31, 2023, Yucca distributed in-kind, without consideration, 14,948 shares of Class A Common Stock pro-rata to its partners in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Exchange Act. The shares are held of record by Yucca. Yucca is the administrator of the Index co-investment vehicles that are contractually required to mirror the relevant Index funds' investment in the Issuer. The reporting person disclaims Section 16 beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares for Section 16 or any other purpose. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.45 - $31.18. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The shares are held of record by IVA VII. Includes shares of Class A Common Stock received in the distributions described herein made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Exchange Act. The shares are held by the Volpi-Cupal Family Trust, of which the reporting person serves as trustee. The reporting person disclaims Section 16 beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares for Section 16 or any other purpose. Each share of Class B Common Stock 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 is also convertible at any time at the option of the holder into one share of Class A Common Stock. /s/ Michelangelo Volpi 2023-06-01