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