4//SEC Filing
Yucca (Jersey) SLP 4
Accession 0000899243-23-004044
CIK 0001699838other
Filed
Feb 5, 7:00 PM ET
Accepted
Feb 6, 4:30 PM ET
Size
48.5 KB
Accession
0000899243-23-004044
Insider Transaction Report
Form 4
Confluent, Inc.CFLT
INDEX VENTURES VII (JERSEY), L.P.
10% Owner
Transactions
- Conversion
Class A Common Stock
2023-02-02+2,258,703→ 2,258,703 total - Conversion
Class A Common Stock
2023-02-02+55,969→ 55,969 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.) - Conversion
Class A Common Stock
2023-02-02+45,991→ 45,991 total(indirect: By Yucca (Jersey) SLP) - Sale
Class A Common Stock
2023-02-02$26.88/sh−552,893$14,862,980→ 68,282 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Sale
Class A Common Stock
2023-02-02$26.88/sh−21,041$565,628→ 2,598 total(indirect: By Yucca (Jersey) SLP) - Sale
Class A Common Stock
2023-02-02$27.28/sh−68,282$1,862,870→ 0 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Other
Class A Common Stock
2023-02-03−2,258,703→ 0 total - Other
Class A Common Stock
2023-02-03−55,969→ 0 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.) - Conversion
Class A Common Stock
2023-02-02+621,175→ 621,175 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Other
Class A Common Stock
2023-02-03−22,352→ 0 total(indirect: By Yucca (Jersey) SLP) - Sale
Class A Common Stock
2023-02-02$27.28/sh−2,598$70,879→ 0 total(indirect: By Yucca (Jersey) SLP) - Conversion
Class B Common Stock
2023-02-02−621,175→ 3,416,465 total(indirect: By Index Ventures Growth IV (Jersey) L.P.)→ Class A Common Stock (621,175 underlying) - Conversion
Class B Common Stock
2023-02-02−45,991→ 252,950 total(indirect: By Yucca (Jersey) SLP)→ Class A Common Stock (45,991 underlying) - Other
Class A Common Stock
2023-02-03−578,668→ 0 total(indirect: By Index Venture Associates VII Limited) - Conversion
Class B Common Stock
2023-02-02−2,258,703→ 12,422,870 total→ Class A Common Stock (2,258,703 underlying) - Conversion
Class B Common Stock
2023-02-02−55,969→ 307,827 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.)→ Class A Common Stock (55,969 underlying)
Yucca (Jersey) SLP
10% Owner
Transactions
- Conversion
Class A Common Stock
2023-02-02+55,969→ 55,969 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.) - Conversion
Class A Common Stock
2023-02-02+621,175→ 621,175 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Conversion
Class A Common Stock
2023-02-02+2,258,703→ 2,258,703 total - Conversion
Class A Common Stock
2023-02-02+45,991→ 45,991 total(indirect: By Yucca (Jersey) SLP) - Sale
Class A Common Stock
2023-02-02$26.88/sh−552,893$14,862,980→ 68,282 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Sale
Class A Common Stock
2023-02-02$27.28/sh−68,282$1,862,870→ 0 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Other
Class A Common Stock
2023-02-03−55,969→ 0 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.) - Conversion
Class B Common Stock
2023-02-02−45,991→ 252,950 total(indirect: By Yucca (Jersey) SLP)→ Class A Common Stock (45,991 underlying) - Other
Class A Common Stock
2023-02-03−22,352→ 0 total(indirect: By Yucca (Jersey) SLP) - Conversion
Class B Common Stock
2023-02-02−55,969→ 307,827 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.)→ Class A Common Stock (55,969 underlying) - Conversion
Class B Common Stock
2023-02-02−621,175→ 3,416,465 total(indirect: By Index Ventures Growth IV (Jersey) L.P.)→ Class A Common Stock (621,175 underlying) - Sale
Class A Common Stock
2023-02-02$26.88/sh−21,041$565,628→ 2,598 total(indirect: By Yucca (Jersey) SLP) - Sale
Class A Common Stock
2023-02-02$27.28/sh−2,598$70,879→ 0 total(indirect: By Yucca (Jersey) SLP) - Other
Class A Common Stock
2023-02-03−2,258,703→ 0 total - Other
Class A Common Stock
2023-02-03−578,668→ 0 total(indirect: By Index Venture Associates VII Limited) - Conversion
Class B Common Stock
2023-02-02−2,258,703→ 12,422,870 total→ Class A Common Stock (2,258,703 underlying)
Transactions
- Sale
Class A Common Stock
2023-02-02$26.88/sh−552,893$14,862,980→ 68,282 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Sale
Class A Common Stock
2023-02-02$27.28/sh−2,598$70,879→ 0 total(indirect: By Yucca (Jersey) SLP) - Other
Class A Common Stock
2023-02-03−22,352→ 0 total(indirect: By Yucca (Jersey) SLP) - Sale
Class A Common Stock
2023-02-02$26.88/sh−21,041$565,628→ 2,598 total(indirect: By Yucca (Jersey) SLP) - Other
Class A Common Stock
2023-02-03−2,258,703→ 0 total - Other
Class A Common Stock
2023-02-03−578,668→ 0 total(indirect: By Index Venture Associates VII Limited) - Conversion
Class A Common Stock
2023-02-02+2,258,703→ 2,258,703 total - Conversion
Class A Common Stock
2023-02-02+55,969→ 55,969 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.) - Conversion
Class A Common Stock
2023-02-02+621,175→ 621,175 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Conversion
Class A Common Stock
2023-02-02+45,991→ 45,991 total(indirect: By Yucca (Jersey) SLP) - Sale
Class A Common Stock
2023-02-02$27.28/sh−68,282$1,862,870→ 0 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Other
Class A Common Stock
2023-02-03−55,969→ 0 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.) - Conversion
Class B Common Stock
2023-02-02−2,258,703→ 12,422,870 total→ Class A Common Stock (2,258,703 underlying) - Conversion
Class B Common Stock
2023-02-02−55,969→ 307,827 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.)→ Class A Common Stock (55,969 underlying) - Conversion
Class B Common Stock
2023-02-02−45,991→ 252,950 total(indirect: By Yucca (Jersey) SLP)→ Class A Common Stock (45,991 underlying) - Conversion
Class B Common Stock
2023-02-02−621,175→ 3,416,465 total(indirect: By Index Ventures Growth IV (Jersey) L.P.)→ Class A Common Stock (621,175 underlying)
Transactions
- Other
Class A Common Stock
2023-02-03−55,969→ 0 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.) - Other
Class A Common Stock
2023-02-03−578,668→ 0 total(indirect: By Index Venture Associates VII Limited) - Sale
Class A Common Stock
2023-02-02$26.88/sh−21,041$565,628→ 2,598 total(indirect: By Yucca (Jersey) SLP) - Sale
Class A Common Stock
2023-02-02$27.28/sh−2,598$70,879→ 0 total(indirect: By Yucca (Jersey) SLP) - Conversion
Class A Common Stock
2023-02-02+2,258,703→ 2,258,703 total - Conversion
Class A Common Stock
2023-02-02+55,969→ 55,969 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.) - Conversion
Class A Common Stock
2023-02-02+621,175→ 621,175 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Conversion
Class A Common Stock
2023-02-02+45,991→ 45,991 total(indirect: By Yucca (Jersey) SLP) - Sale
Class A Common Stock
2023-02-02$26.88/sh−552,893$14,862,980→ 68,282 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Sale
Class A Common Stock
2023-02-02$27.28/sh−68,282$1,862,870→ 0 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Other
Class A Common Stock
2023-02-03−2,258,703→ 0 total - Other
Class A Common Stock
2023-02-03−22,352→ 0 total(indirect: By Yucca (Jersey) SLP) - Conversion
Class B Common Stock
2023-02-02−2,258,703→ 12,422,870 total→ Class A Common Stock (2,258,703 underlying) - Conversion
Class B Common Stock
2023-02-02−55,969→ 307,827 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.)→ Class A Common Stock (55,969 underlying) - Conversion
Class B Common Stock
2023-02-02−621,175→ 3,416,465 total(indirect: By Index Ventures Growth IV (Jersey) L.P.)→ Class A Common Stock (621,175 underlying) - Conversion
Class B Common Stock
2023-02-02−45,991→ 252,950 total(indirect: By Yucca (Jersey) SLP)→ Class A Common Stock (45,991 underlying)
Transactions
- Conversion
Class B Common Stock
2023-02-02−2,258,703→ 12,422,870 total→ Class A Common Stock (2,258,703 underlying) - Conversion
Class B Common Stock
2023-02-02−621,175→ 3,416,465 total(indirect: By Index Ventures Growth IV (Jersey) L.P.)→ Class A Common Stock (621,175 underlying) - Other
Class A Common Stock
2023-02-03−2,258,703→ 0 total - Other
Class A Common Stock
2023-02-03−55,969→ 0 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.) - Conversion
Class B Common Stock
2023-02-02−55,969→ 307,827 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.)→ Class A Common Stock (55,969 underlying) - Conversion
Class B Common Stock
2023-02-02−45,991→ 252,950 total(indirect: By Yucca (Jersey) SLP)→ Class A Common Stock (45,991 underlying) - Conversion
Class A Common Stock
2023-02-02+2,258,703→ 2,258,703 total - Conversion
Class A Common Stock
2023-02-02+55,969→ 55,969 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.) - Conversion
Class A Common Stock
2023-02-02+45,991→ 45,991 total(indirect: By Yucca (Jersey) SLP) - Sale
Class A Common Stock
2023-02-02$26.88/sh−552,893$14,862,980→ 68,282 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Sale
Class A Common Stock
2023-02-02$26.88/sh−21,041$565,628→ 2,598 total(indirect: By Yucca (Jersey) SLP) - Sale
Class A Common Stock
2023-02-02$27.28/sh−68,282$1,862,870→ 0 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Sale
Class A Common Stock
2023-02-02$27.28/sh−2,598$70,879→ 0 total(indirect: By Yucca (Jersey) SLP) - Other
Class A Common Stock
2023-02-03−578,668→ 0 total(indirect: By Index Venture Associates VII Limited) - Conversion
Class A Common Stock
2023-02-02+621,175→ 621,175 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Other
Class A Common Stock
2023-02-03−22,352→ 0 total(indirect: By Yucca (Jersey) SLP)
Index Venture Associates VII Ltd
10% Owner
Transactions
- Sale
Class A Common Stock
2023-02-02$27.28/sh−68,282$1,862,870→ 0 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Sale
Class A Common Stock
2023-02-02$27.28/sh−2,598$70,879→ 0 total(indirect: By Yucca (Jersey) SLP) - Other
Class A Common Stock
2023-02-03−2,258,703→ 0 total - Other
Class A Common Stock
2023-02-03−578,668→ 0 total(indirect: By Index Venture Associates VII Limited) - Other
Class A Common Stock
2023-02-03−55,969→ 0 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.) - Conversion
Class B Common Stock
2023-02-02−2,258,703→ 12,422,870 total→ Class A Common Stock (2,258,703 underlying) - Conversion
Class B Common Stock
2023-02-02−621,175→ 3,416,465 total(indirect: By Index Ventures Growth IV (Jersey) L.P.)→ Class A Common Stock (621,175 underlying) - Conversion
Class A Common Stock
2023-02-02+2,258,703→ 2,258,703 total - Conversion
Class A Common Stock
2023-02-02+55,969→ 55,969 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.) - Conversion
Class A Common Stock
2023-02-02+621,175→ 621,175 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Conversion
Class A Common Stock
2023-02-02+45,991→ 45,991 total(indirect: By Yucca (Jersey) SLP) - Sale
Class A Common Stock
2023-02-02$26.88/sh−552,893$14,862,980→ 68,282 total(indirect: By Index Ventures Growth IV (Jersey) L.P.) - Sale
Class A Common Stock
2023-02-02$26.88/sh−21,041$565,628→ 2,598 total(indirect: By Yucca (Jersey) SLP) - Other
Class A Common Stock
2023-02-03−22,352→ 0 total(indirect: By Yucca (Jersey) SLP) - Conversion
Class B Common Stock
2023-02-02−55,969→ 307,827 total(indirect: By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P.)→ Class A Common Stock (55,969 underlying) - Conversion
Class B Common Stock
2023-02-02−45,991→ 252,950 total(indirect: By Yucca (Jersey) SLP)→ Class A Common Stock (45,991 underlying)
Footnotes (12)
- [F1]On February 2, 2023, 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 3, 2023, 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"). On the same date, IVA VII distributed in-kind, without consideration, 564,676 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.
- [F10]The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.14 - $27.52. 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.
- [F11]The shares are held of record by IVA VII.
- [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.
- [F2]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.
- [F3]On February 2, 2023, 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 February 3, 2023, 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. 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 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. 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.
- [F5]On February 2, 2023, 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.
- [F6]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.
- [F7]On February 2, 2023, 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 3, 2023, Yucca distributed in-kind, without consideration, 22,352 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.
- [F8]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. 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.
- [F9]The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.14 - $27.137267. 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.
Documents
Issuer
Confluent, Inc.
CIK 0001699838
Entity typeother
IncorporatedJersey
Related Parties
1- filerCIK 0001591294
Filing Metadata
- Form type
- 4
- Filed
- Feb 5, 7:00 PM ET
- Accepted
- Feb 6, 4:30 PM ET
- Size
- 48.5 KB