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