Form Type: 4

SEC EDGAR Link
Accession Number:0000899243-22-035365
Date:2022-11-04
Issuer: CONFLUENT, INC. (CFLT)
Original Submission Date:

Reporting Person:

VOLPI MICHELANGELO
C/O CONFLUENT, INC.
899 W. EVELYN AVENUE MOUNTAIN VIEW, CA 94041

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON STOCK 2022-11-04 C 3,388,055 a $0.00 3,388,055 indirect f2
CLASS A COMMON STOCK 2022-11-04 J 3,247,544 d $0.00 140,511 indirect f2
CLASS A COMMON STOCK 2022-11-04 C 83,953 a $0.00 83,953 indirect f4
CLASS A COMMON STOCK 2022-11-04 J 83,953 d $0.00 0 indirect f4
CLASS A COMMON STOCK 2022-11-04 J 576,217 d $0.00 0 indirect f5
CLASS A COMMON STOCK 2022-11-04 C 931,763 a $0.00 931,763 indirect f7
CLASS A COMMON STOCK 2022-11-04 J 931,763 d $0.00 0 indirect f7
CLASS A COMMON STOCK 2022-11-04 C 68,986 a $0.00 68,986 indirect f9
CLASS A COMMON STOCK 2022-11-04 J 44,846 d $0.00 24,140 indirect f9
CLASS A COMMON STOCK 2022-11-04 0 $0.00 59,059 direct
CLASS A COMMON STOCK 2022-11-04 0 $0.00 27,302 indirect f11
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
CLASS B COMMON STOCK 0.0 2022-11-04 deemed execution date C 3,388,055 (d) class a common stock 3,388,055 $0.00 14,681,573 indirect by index ventures vii (jersey) l.p.
CLASS B COMMON STOCK 0.0 2022-11-04 deemed execution date C 83,953 (d) class a common stock 83,953 $0.00 363,796 indirect by index ventures vii parallel entrepreneur fund (jersey) l.p.
CLASS B COMMON STOCK 0.0 2022-11-04 deemed execution date C 931,763 (d) class a common stock 931,763 $0.00 4,037,640 indirect by index ventures growth iv (jersey) l.p.
CLASS B COMMON STOCK 0.0 2022-11-04 deemed execution date C 68,986 (d) class a common stock 68,986 $0.00 298,941 indirect by yucca (jersey) slp
Footnotes
IDfootnote
f1 on november 4, 2022, index ventures vii (jersey) l.p. ("index vii") converted in the aggregate 3,388,055 shares of the issuer's class b common stock into 3,388,055 shares of the issuer's class a common stock. subsequently on the same date, index vii distributed in-kind, without consideration, 3,247,544 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, 564,787 shares of class a common stock received in the index vii distribution pro-rata to its shareholders, in accordance with the exemptions afforded under rule 16a-9(a) and rule 16a-13 of the exchange act.
f2 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.
f3 on november 4, 2022, index vii parallel converted in the aggregate 83,953 shares of the issuer's class b common stock into 83,953 shares of the issuer's class a common stock. subsequently on the same date, index vii parallel distributed in-kind, without consideration, 83,953 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, 11,430 shares of class a common stock received in the index vii parallel distribution pro-rata to its shareholders, in accordance with the exemptions afforded under rule 16a-9(a) and rule 16a-13 of the exchange act.
f4 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.
f5 the shares are held by iva vii.
f6 on november 4, 2022, index ventures growth iv (jersey) l.p. ("index growth iv") converted in the aggregate 931,763 shares of the issuer's class b common stock into 931,763 shares of the issuer's class a common stock. subsequently on the same date, index growth iv distributed in-kind, without consideration, 931,763 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.
f7 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.
f8 on november 4, 2022, yucca (jersey) slp ("yucca") converted in the aggregate 68,986 shares of the issuer's class b common stock into 68,986 shares of the issuer's class a common stock. subsequently on the same date, yucca distributed in-kind, without consideration, 44,846 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.
f9 the shares are held 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). 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.
f10 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.
f11 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.
f12 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.
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