0000950170-24-014639.txt : 20240213
0000950170-24-014639.hdr.sgml : 20240213
20240213170011
ACCESSION NUMBER: 0000950170-24-014639
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240209
FILED AS OF DATE: 20240213
DATE AS OF CHANGE: 20240213
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Volpi Michelangelo
CENTRAL INDEX KEY: 0001626464
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40526
FILM NUMBER: 24627533
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]
ORGANIZATION NAME: 06 Technology
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
ownership.xml
4
X0508
4
2024-02-09
0001699838
Confluent, Inc.
CFLT
0001626464
Volpi Michelangelo
C/O CONFLUENT, INC.
899 W. EVELYN AVENUE
MOUNTAIN VIEW
CA
94041
true
false
false
false
false
Class A Common Stock
2024-02-09
4
C
false
2258703
0
A
2258703
I
By Index Ventures VII (Jersey) L.P.
Class A Common Stock
2024-02-09
4
C
false
55969
0
A
55969
I
By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.
Class A Common Stock
2024-02-09
4
C
false
621175
0
A
621175
I
By Index Ventures Growth IV (Jersey) L.P.
Class A Common Stock
2024-02-09
4
C
false
45991
0
A
45991
I
By Yucca (Jersey) SLP
Class A Common Stock
2024-02-09
4
S
false
582826
31.6799
D
38349
I
By Index Ventures Growth IV (Jersey) L.P.
Class A Common Stock
2024-02-09
4
S
false
15099
31.6799
D
30892
I
By Yucca (Jersey) SLP
Class A Common Stock
2024-02-09
4
S
false
38349
32.5400
D
0
I
By Index Ventures Growth IV (Jersey) L.P.
Class A Common Stock
2024-02-09
4
S
false
994
32.5400
D
29898
I
By Yucca (Jersey) SLP
Class A Common Stock
2024-02-12
4
J
false
2258703
0
D
0
I
By Index Ventures VII (Jersey) L.P.
Class A Common Stock
2024-02-12
4
J
false
55969
0
D
0
I
By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.
Class A Common Stock
2024-02-12
4
J
false
545224
0
D
0
I
By Index Venture Associates VII Limited
Class A Common Stock
2024-02-12
4
J
false
29898
0
D
0
I
By Yucca (Jersey) SLP
Class A Common Stock
302306
D
Class A Common Stock
162805
I
By Trust
Class B Common Stock
2024-02-09
4
C
false
2258703
0
D
Class A Common Stock
2258703
3388057
I
By Index Ventures VII (Jersey) L.P.
Class B Common Stock
2024-02-09
4
C
false
55969
0
D
Class A Common Stock
55969
83952
I
By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.
Class B Common Stock
2024-02-09
4
C
false
621175
0
D
Class A Common Stock
621175
931764
I
By Index Ventures Growth IV (Jersey) L.P.
Class B Common Stock
2024-02-09
4
C
false
45991
0
D
Class A Common Stock
45991
68987
I
By Yucca (Jersey) SLP
On February 9, 2024, Index Ventures VII (Jersey) L.P. ("Index VII") converted in the aggregate 2,258,703 shares of the Issuer's Class B Common Stock into 2,258,703 shares of the Issuer's Class A Common Stock. Subsequently, on February 12, 2024, Index VII distributed in-kind, without consideration, 2,258,703 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, 531,232 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 February 9, 2024, Index VII Parallel converted in the aggregate 55,969 shares of the Issuer's Class B Common Stock into 55,969 shares of the Issuer's Class A Common Stock. Subsequently, on February 12, 2024 Index VII Parallel distributed in-kind, without consideration, 55,969 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, 13,992 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 February 9, 2024, Index Growth IV converted in the aggregate 621,175 shares of the Issuer's Class B Common Stock into 621,175 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 February 9, 2024, Yucca (Jersey) SLP ("Yucca") converted in the aggregate 45,991 shares of the Issuer's Class B Common Stock into 45,991 shares of the Issuer's Class A Common Stock. Subsequently, on February 12, 2024, Yucca distributed in-kind, without consideration, 29,898 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 $31.31 - $32.30. 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 price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.31 - $32.92. 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
2024-02-13