0000899243-22-028157.txt : 20220809 0000899243-22-028157.hdr.sgml : 20220809 20220809190252 ACCESSION NUMBER: 0000899243-22-028157 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220805 FILED AS OF DATE: 20220809 DATE AS OF CHANGE: 20220809 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Yucca (Jersey) SLP CENTRAL INDEX KEY: 0001591294 STATE OF INCORPORATION: Y9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40526 FILM NUMBER: 221149932 BUSINESS ADDRESS: STREET 1: OGIER HOUSE STREET 2: THE ESPLANADE CITY: ST. HELIER STATE: Y9 ZIP: JE4 9WG BUSINESS PHONE: 44-0-1534-833400 MAIL ADDRESS: STREET 1: NO. 1 SEATON PLACE CITY: ST. HELIER STATE: Y9 ZIP: Y9 JE48YJ REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: INDEX VENTURES VII (JERSEY), L.P. CENTRAL INDEX KEY: 0001604856 STATE OF INCORPORATION: Y9 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40526 FILM NUMBER: 221149936 BUSINESS ADDRESS: STREET 1: C/O EFG WEALTH SOLUTIONS (JERSEY) LTD STREET 2: NO. 1 SEATON PLACE CITY: ST. HELIER STATE: Y9 ZIP: JE4 8YJ BUSINESS PHONE: 44 (0) 1534 605600 MAIL ADDRESS: STREET 1: C/O EFG WEALTH SOLUTIONS (JERSEY) LTD STREET 2: NO. 1 SEATON PLACE CITY: ST. HELIER STATE: Y9 ZIP: JE4 8YJ REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. CENTRAL INDEX KEY: 0001612238 STATE OF INCORPORATION: Y9 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40526 FILM NUMBER: 221149935 BUSINESS ADDRESS: STREET 1: C/O EFG WEALTH SOLUTIONS (JERSEY) LTD STREET 2: NO. 1 SEATON PLACE CITY: ST. HELIER STATE: Y9 ZIP: JE4 8YJ BUSINESS PHONE: 44 (0) 1534 605600 MAIL ADDRESS: STREET 1: C/O EFG WEALTH SOLUTIONS (JERSEY) LTD STREET 2: NO. 1 SEATON PLACE CITY: ST. HELIER STATE: Y9 ZIP: JE4 8YJ REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Index Venture Associates VII Ltd CENTRAL INDEX KEY: 0001866169 STATE OF INCORPORATION: Y9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40526 FILM NUMBER: 221149934 BUSINESS ADDRESS: STREET 1: 44 ESPLANADE CITY: ST. HELIER STATE: Y9 ZIP: JE4 9WG BUSINESS PHONE: 44 0 1534-504000 MAIL ADDRESS: STREET 1: 44 ESPLANADE CITY: ST. HELIER STATE: Y9 ZIP: JE4 9WG REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Index Ventures Growth IV (Jersey), L.P. CENTRAL INDEX KEY: 0001746441 STATE OF INCORPORATION: Y9 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40526 FILM NUMBER: 221149933 BUSINESS ADDRESS: STREET 1: C/O EFG WEALTH SOLUTIONS (JERSEY) STREET 2: LIMITED, NO. 1 SEATON PLACE CITY: ST. HELIER STATE: Y9 ZIP: JE4 8YJ BUSINESS PHONE: 44 (0) 1534 605600 MAIL ADDRESS: STREET 1: C/O EFG WEALTH SOLUTIONS (JERSEY) STREET 2: LIMITED, NO. 1 SEATON PLACE CITY: ST. HELIER STATE: Y9 ZIP: JE4 8YJ REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Index Venture Growth Associates IV Ltd CENTRAL INDEX KEY: 0001865141 STATE OF INCORPORATION: Y9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40526 FILM NUMBER: 221149931 BUSINESS ADDRESS: STREET 1: 44 ESPLANADE CITY: ST. HELIER STATE: Y9 ZIP: JE4 9WG BUSINESS PHONE: 44 0 1534-504000 MAIL ADDRESS: STREET 1: 44 ESPLANADE CITY: ST. HELIER STATE: Y9 ZIP: JE4 9WG 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 X0306 4 2022-08-05 0 0001699838 Confluent, Inc. CFLT 0001604856 INDEX VENTURES VII (JERSEY), L.P. 5TH FLOOR, 44 ESPLANADE ST. HELIER Y9 JE1 3FG JERSEY 0 0 1 0 0001612238 INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. 5TH FLOOR, 44 ESPLANADE ST. HELIER Y9 JE1 3FG JERSEY 0 0 1 0 0001866169 Index Venture Associates VII Ltd 5TH FLOOR, 44 ESPLANADE ST. HELIER Y9 JE1 3FG JERSEY 0 0 1 0 0001746441 Index Ventures Growth IV (Jersey), L.P. 5TH FLOOR, 44 ESPLANADE ST. HELIER Y9 JE1 3FG JERSEY 0 0 1 0 0001591294 Yucca (Jersey) SLP 5TH FLOOR, 44 ESPLANADE ST. HELIER Y9 JE1 3FG JERSEY 0 0 1 0 0001865141 Index Venture Growth Associates IV Ltd 5TH FLOOR, 44 ESPLANADE ST. HELIER JE1 3FG 0 0 1 0 Class A Common Stock 2022-08-05 4 C 0 2258703 0.00 A 2258703 D Class A Common Stock 2022-08-05 4 C 0 55969 0.00 A 55969 I By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Class A Common Stock 2022-08-05 4 C 0 621175 0.00 A 621175 I By Index Ventures Growth IV (Jersey) L.P. Class A Common Stock 2022-08-05 4 S 0 316468 33.7725 D 304707 I By Index Ventures Growth IV (Jersey) L.P. Class A Common Stock 2022-08-05 4 C 0 45991 0.00 A 45991 I By Yucca (Jersey) SLP Class A Common Stock 2022-08-08 4 J 0 2258703 0.00 D 0 D Class A Common Stock 2022-08-08 4 J 0 55969 0.00 D 0 I By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Class A Common Stock 2022-08-08 4 S 0 304707 33.3979 D 0 I By Index Ventures Growth IV (Jersey) L.P. Class A Common Stock 2022-08-08 4 J 0 29898 0.00 D 16093 I By Yucca (Jersey) SLP Class A Common Stock 2022-08-08 4 S 0 16093 33.3979 D 0 I By Yucca (Jersey) SLP Class B Common Stock 2022-08-05 4 C 0 2258703 0.00 D Class A Common Stock 2258703 18069628 D Class B Common Stock 2022-08-05 4 C 0 55969 0.00 D Class A Common Stock 55969 447749 I By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Class B Common Stock 2022-08-05 4 C 0 621175 0.00 D Class A Common Stock 621175 4969403 I By Index Ventures Growth IV (Jersey) L.P. Class B Common Stock 2022-08-05 4 C 0 45991 0.00 D Class A Common Stock 45991 367927 I By Yucca (Jersey) SLP On August 5, 2022, 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 August 8, 2022, Index VII distributed in-kind, without consideration, 2,258,703 shares of Class A Common Stock pro-rata to its limited partners 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"). The shares are held by Index VII. Index Venture Associates VII Limited ("IVA VII") is the general partner of Index VII. IVA VII disclaims beneficial ownership of such shares for purposes of Section 16 of the Exchange Act ("Section 16") except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by it for Section 16 or any other purpose. On August 5, 2022, Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. ("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 August 8, 2022, Index VII Parallel distributed in-kind, without consideration, 55,969 shares of Class A Common Stock pro-rata to its limited 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. IVA VII disclaims beneficial ownership of such shares for purposes of Section 16 except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by it for Section 16 or any other purpose. On August 5, 2022, Index Ventures Growth IV (Jersey) L.P. ("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. IVGA IV disclaims beneficial ownership of such shares for purposes of Section 16 except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by it 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 $33.57 - $34.23. The reporting persons undertake 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. On August 5, 2022, 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 August 8, 2022, 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 this case, Index VII, Index VII Parallel and Index Growth IV). Each of IVA VII and IVGA IV disclaims Section 16 beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by it 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 $33.30 - $33.67. The reporting persons undertake 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. Each share of Class B Common Stock held by the reporting persons 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. Index Ventures VII (Jersey) LP, By: Index Venture Associates VII Limited, as Managing General Partner, By: /s/ Nigel Greenwood, Director 2022-08-09 Index Ventures VII Parallel Entrepreneur Fund (Jersey) LP, By: Index Venture Associates VII Limited, as Managing General Partner, By: /s/ Nigel Greenwood, Director 2022-08-09 Index Venture Associates VII Limited, By: /s/ Nigel Greenwood, Director 2022-08-09 Index Ventures Growth IV (Jersey), LP, By: Index Venture Growth Associates IV Limited, as Managing General Partner, By: /s/ Nigel Greenwood, Director 2022-08-09 Index Venture Growth Associates IV Limited, By: /s/ Nigel Greenwood, Director 2022-08-09 Yucca (Jersey) SLP, By: Intertrust Employee Benefit Services Limited, as authorized signatory of Yucca (Jersey) SLP in its capacity as Administrator of the Index Co-Investment Scheme, By: /s/ Luke Aubert and /s/ Lucy Miller, Authorized Signatories 2022-08-09