0001104659-21-114796.txt : 20210910
0001104659-21-114796.hdr.sgml : 20210910
20210910200137
ACCESSION NUMBER: 0001104659-21-114796
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210908
FILED AS OF DATE: 20210910
DATE AS OF CHANGE: 20210910
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LASKY MITCHELL
CENTRAL INDEX KEY: 0001091435
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40526
FILM NUMBER: 211248287
MAIL ADDRESS:
STREET 1: 2480 SAND HILL ROAD
STREET 2: STE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GURLEY J WILLIAM
CENTRAL INDEX KEY: 0001190191
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40526
FILM NUMBER: 211248289
MAIL ADDRESS:
STREET 1: 2480 SAND HILL ROAD
STREET 2: SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SPURLOCK STEVEN M
CENTRAL INDEX KEY: 0001190193
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40526
FILM NUMBER: 211248292
MAIL ADDRESS:
STREET 1: 2480 SAND HILL ROAD
STREET 2: SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FENTON PETER H
CENTRAL INDEX KEY: 0001219230
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40526
FILM NUMBER: 211248290
MAIL ADDRESS:
STREET 1: 2480 SAND HILL ROAD
STREET 2: SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hu An-Yen
CENTRAL INDEX KEY: 0001825956
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40526
FILM NUMBER: 211248288
MAIL ADDRESS:
STREET 1: 2965 WOODSIDE ROAD
CITY: WOODSIDE
STATE: CA
ZIP: 94062
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Puttagunta Chetan
CENTRAL INDEX KEY: 0001695859
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40526
FILM NUMBER: 211248286
MAIL ADDRESS:
STREET 1: 2855 SAND HILL ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cohler Matt
CENTRAL INDEX KEY: 0001572685
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40526
FILM NUMBER: 211248291
MAIL ADDRESS:
STREET 1: 2480 SAND HILL ROAD, SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Tavel Sarah E
CENTRAL INDEX KEY: 0001774645
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40526
FILM NUMBER: 211248285
MAIL ADDRESS:
STREET 1: 2965 WOODSIDE ROAD
CITY: WOODSIDE
STATE: CA
ZIP: 94062
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
tm2127305-3_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-09-08
0
0001699838
Confluent, Inc.
CFLT
0001190193
SPURLOCK STEVEN M
2965 WOODSIDE ROAD
WOODSIDE
CA
94062
0
0
1
0
0001572685
Cohler Matt
2965 WOODSIDE ROAD
WOODSIDE
CA
94062
0
0
1
0
0001219230
FENTON PETER H
2965 WOODSIDE ROAD
WOODSIDE
CA
94062
0
0
1
0
0001190191
GURLEY J WILLIAM
2965 WOODSIDE ROAD
WOODSIDE
CA
94062
0
0
1
0
0001825956
Hu An-Yen
2965 WOODSIDE ROAD
WOODSIDE
CA
94062
0
0
1
0
0001091435
LASKY MITCHELL
2965 WOODSIDE ROAD
WOODSIDE
CA
94062
0
0
1
0
0001695859
Puttagunta Chetan
2965 WOODSIDE ROAD
WOODSIDE
CA
94062
0
0
1
0
0001774645
Tavel Sarah E
2965 WOODSIDE ROAD
WOODSIDE
CA
94062
0
0
1
0
Class A Common Stock
2021-09-08
4
C
0
9267372
0.00
A
9267372
I
See footnote
Class A Common Stock
2021-09-08
4
J
0
9267372
0.00
D
0
I
See footnote
Class A Common Stock
2021-09-08
4
J
0
425680
0.00
A
425680
I
See footnote
Class A Common Stock
2021-09-08
4
J
0
1418936
0.00
A
1418936
I
See footnote
Class A Common Stock
2021-09-08
4
J
0
1156576
0.00
A
1156576
I
See footnote
Class A Common Stock
2021-09-08
4
J
0
1418937
0.00
A
1418937
I
See footnote
Class A Common Stock
2021-09-08
4
J
0
1418936
0.00
A
1418936
I
See footnote
Class A Common Stock
2021-09-08
4
J
0
946430
0.00
A
946430
I
See footnote
Class A Common Stock
2021-09-08
4
J
0
11910
0.00
A
11910
I
See footnote
Class A Common Stock
2021-09-08
4
J
0
212839
0.00
A
212839
I
See footnote
Class B Common Stock
2021-09-08
4
C
0
9267372
0.00
D
Class A Common Stock
9267372
25748625
I
See footnote
Shares are held by Benchmark Capital Partners VIII, L.P. ("BCP VIII"), for itself and as nominee for Benchmark Founders' Fund VIII, L.P. ("BFF VIII") and Benchmark Founders' Fund VIII-B, L.P. ("BFF VIII-B"). Benchmark Capital Management Co. VIII, L.L.C. ("BCMC VIII"), the general partner of each of BCP VIII, BFF VIII and BFF VIII-B, may be deemed to have sole voting and investment power over such shares. Eric Vishria, a member of the Issuer's board of directors, Matthew R. Cohler, Peter H. Fenton, J. William Gurley, An-Yen Hu, Mitchell H. Lasky, Chetan Puttagunta, Steven M. Spurlock and Sarah E. Tavel are the managing members of BCMC VIII, and each of them may be deemed to share voting and investment power over the securities held by such entities. Each such person and entity disclaims the existence of a "group" and disclaims beneficial ownership of the securities, except to the extent of such person's or entity's pecuniary interest in such securities.
Represents a pro-rata, in-kind distribution by BCP VIII and its affiliated funds to BCMC VIII and its respective members and equityholders and was not a disposition for value. The recipients of such shares in such distribution are subject to a lock-up agreement with the representatives of the several underwriters in connection with the initial public offering of the Issuer.
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 is also convertible at any time at the option of the Reporting Person into one share of Class A Common Stock.
Shares are held by Steven M. Spurlock's family partnership.
Shares are held by Matthew R. Cohler's trust entity.
Shares are held by Peter H. Fenton's trust entities.
Shares are held by Mitchell H. Lasky's family trust.
Shares are held by J. William Gurley's trust entities.
Shares are held by Sarah Tavel
Shares held by An-Yen Hu's trust entity.
Shares held by Chetan Puttagunta's trust entity.
This report is one of three reports, each on a separate Form 4, but relating to the same transaction being filed by entities affiliated with Benchmark and their applicable members.
/s/ An-Yen Hu, by power of attorney for Steven M. Spurlock
2021-09-10
/s/ An-Yen Hu, by power of attorney for Matthew R. Cohler
2021-09-10
/s/ An-Yen Hu, by power of attorney for Peter H. Fenton
2021-09-10
/s/ An-Yen Hu, by power of attorney for J. William Gurley
2021-09-10
/s/ An-Yen Hu
2021-09-10
/s/ An-Yen Hu, by power of attorney for Mitchell H. Lasky
2021-09-10
/s/ An-Yen Hu, by power of attorney for Chetan Puttagunta
2021-09-10
/s/ An-Yen Hu, by power of attorney for Sarah E. Tavel
2021-09-10