organization · Reporting owner
INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P.
Disclosed activity across 1 company
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Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Confluent, Inc.
Report date February 02, 2023 · Filed February 06, 2023
Jointly reported with INDEX VENTURES VII (JERSEY), L.P., Index Venture Associates VII Ltd, Index Ventures Growth IV (Jersey), L.P., Yucca (Jersey) SLP, Index Venture Growth Associates IV Ltd
Section 16 reporting ended · disclosed 2023-02-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 2,258,703 |
Reported balance
After 2023-02-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-02-02 · Conversion · Acquired 2,258,703 · Balance 2,258,703 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. 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. |
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-02-03 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2023-02-03 · Other · Disposed 2,258,703 · Balance 0 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. | 0 |
Last balance in matching sequence
After 2023-02-03 transaction · row 10
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2023-02-02 · Conversion · Acquired 55,969 · Balance 55,969 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. Row 10 · 2023-02-03 · Other · Disposed 55,969 · Balance 0 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Index Ventures Growth IV (Jersey) L.P. | 0 |
Last balance in matching sequence
After 2023-02-02 transaction · row 7
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 3 · 2023-02-02 · Conversion · Acquired 621,175 · Balance 621,175 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. Row 5 · 2023-02-02 · Sale · Disposed 552,893 · Balance 68,282 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. 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. Row 7 · 2023-02-02 · Sale · Disposed 68,282 · Balance 0 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. 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Yucca (Jersey) SLP | 45,991 |
Reported balance
After 2023-02-02 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2023-02-02 · Conversion · Acquired 45,991 · Balance 45,991 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Yucca (Jersey) SLP | 2,598 |
Reported balance
After 2023-02-02 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2023-02-02 · Sale · Disposed 21,041 · Balance 2,598 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. 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Yucca (Jersey) SLP | 0 |
Reported balance
After 2023-02-02 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2023-02-02 · Sale · Disposed 2,598 · Balance 0 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. 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Yucca (Jersey) SLP | 0 |
Reported balance
After 2023-02-03 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2023-02-03 · Other · Disposed 22,352 · Balance 0 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Index Venture Associates VII Limited | 0 |
Reported balance
After 2023-02-03 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2023-02-03 · Other · Disposed 578,668 · Balance 0 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. 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. F11: The shares are held of record by IVA VII. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 12,422,870 |
Reported balance
After 2023-02-02 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2023-02-02 · Conversion · Disposed 2,258,703 · Balance 12,422,870 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. 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. 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. | 307,827 |
Reported balance
After 2023-02-02 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2023-02-02 · Conversion · Disposed 55,969 · Balance 307,827 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. 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Index Ventures Growth IV (Jersey) L.P. | 3,416,465 |
Reported balance
After 2023-02-02 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2023-02-02 · Conversion · Disposed 621,175 · Balance 3,416,465 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. 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Yucca (Jersey) SLP | 252,950 |
Reported balance
After 2023-02-02 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2023-02-02 · Conversion · Disposed 45,991 · Balance 252,950 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. 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. |
Filing footnotes · ownership attribution and instrument terms
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.
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.
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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 03, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | OtherClass A Common Stock | 22,352 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · nonDerivative · entry 12 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 0 F7 · kind: 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. F7 · price: 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 · ownership.nature: 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. Read SEC document |
| February 03, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | OtherClass A Common Stock | 578,668 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · nonDerivative · entry 11 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Venture Associates VII Limited Disclosed balance after: 0 F1 · kind: 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. F3 · kind: 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. F1 · price: 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. F3 · price: 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. F11 · ownership.nature: The shares are held of record by IVA VII. Read SEC document |
| February 03, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | OtherClass A Common Stock | 55,969 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · nonDerivative · entry 10 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Disclosed balance after: 0 F3 · kind: 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. F3 · price: 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 · ownership.nature: 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. Read SEC document |
| February 03, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | OtherClass A Common Stock | 2,258,703 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · nonDerivative · entry 9 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: 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. F1 · price: 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. Read SEC document |
| February 02, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 45,991 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · derivative · entry 16 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 252,950 Underlying: Class A Common Stock · 45,991 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F12 · derivative.exercise_price: 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. F7 · kind: 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. F12 · derivative.exercise_date: 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. F12 · derivative.expiration_date: 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. F8 · ownership.nature: 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. Read SEC document |
| February 02, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 621,175 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · derivative · entry 15 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures Growth IV (Jersey) L.P. Disclosed balance after: 3,416,465 Underlying: Class A Common Stock · 621,175 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F12 · derivative.exercise_price: 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. F5 · kind: 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. F12 · derivative.exercise_date: 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. F12 · derivative.expiration_date: 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. F6 · ownership.nature: 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. Read SEC document |
| February 02, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 55,969 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · derivative · entry 14 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Disclosed balance after: 307,827 Underlying: Class A Common Stock · 55,969 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F12 · derivative.exercise_price: 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. F3 · kind: 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. F12 · derivative.exercise_date: 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. F12 · derivative.expiration_date: 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. F4 · ownership.nature: 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. Read SEC document |
| February 02, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 2,258,703 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · derivative · entry 13 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,422,870 Underlying: Class A Common Stock · 2,258,703 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F12 · derivative.exercise_price: 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. F1 · kind: 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. F12 · derivative.exercise_date: 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. F12 · derivative.expiration_date: 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 · ownership.direct: 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. Read SEC document |
| February 02, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | SaleClass A Common Stock | 2,598 | $27.28 | $70,878.64 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · nonDerivative · entry 8 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 0 F10 · price: 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. F8 · ownership.nature: 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. Read SEC document |
| February 02, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | SaleClass A Common Stock | 68,282 | $27.28 | $1,862,869.52 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · nonDerivative · entry 7 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures Growth IV (Jersey) L.P. Disclosed balance after: 0 F10 · price: 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. F6 · ownership.nature: 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. Read SEC document |
| February 02, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | SaleClass A Common Stock | 21,041 | $26.88 | $565,628.37 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · nonDerivative · entry 6 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 2,598 F9 · price: 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. F8 · ownership.nature: 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. Read SEC document |
| February 02, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | SaleClass A Common Stock | 552,893 | $26.88 | $14,862,980.20 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · nonDerivative · entry 5 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures Growth IV (Jersey) L.P. Disclosed balance after: 68,282 F9 · price: 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. F6 · ownership.nature: 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. Read SEC document |
| February 02, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass A Common Stock | 45,991 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · nonDerivative · entry 4 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 45,991 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · kind: 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. F7 · price: 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 · ownership.nature: 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. Read SEC document |
| February 02, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass A Common Stock | 621,175 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · nonDerivative · entry 3 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures Growth IV (Jersey) L.P. Disclosed balance after: 621,175 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · kind: 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. F5 · price: 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 · ownership.nature: 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. Read SEC document |
| February 02, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass A Common Stock | 55,969 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · nonDerivative · entry 2 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Disclosed balance after: 55,969 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · kind: 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. F3 · price: 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 · ownership.nature: 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. Read SEC document |
| February 02, 2023 Filed Feb 6, 2023 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass A Common Stock | 2,258,703 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004044 · doc4.xml · nonDerivative · entry 1 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,258,703 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. F1 · price: 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. F2 · ownership.direct: 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. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 68,986 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-035367 · doc4.xml · derivative · entry 13 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 298,941 Underlying: Class A Common Stock · 68,986 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · derivative.exercise_price: 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. F8 · kind: 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. F10 · derivative.exercise_date: 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. F10 · derivative.expiration_date: 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. F9 · ownership.nature: 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). 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. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 931,763 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-035367 · doc4.xml · derivative · entry 12 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures Growth IV (Jersey) L.P. Disclosed balance after: 4,037,640 Underlying: Class A Common Stock · 931,763 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · derivative.exercise_price: 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. F6 · kind: 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. F10 · derivative.exercise_date: 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. F10 · derivative.expiration_date: 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. F7 · ownership.nature: 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. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 83,953 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-035367 · doc4.xml · derivative · entry 11 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Disclosed balance after: 363,796 Underlying: Class A Common Stock · 83,953 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · derivative.exercise_price: 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. F3 · kind: On November 4, 2022, Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. ("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. F10 · derivative.exercise_date: 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. F10 · derivative.expiration_date: 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. F4 · ownership.nature: 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. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 3,388,055 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-035367 · doc4.xml · derivative · entry 10 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,681,573 Underlying: Class A Common Stock · 3,388,055 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · derivative.exercise_price: 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. F1 · kind: 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. F10 · derivative.exercise_date: 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. F10 · derivative.expiration_date: 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 · ownership.direct: The shares are held by Index VII. 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. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | OtherClass A Common Stock | 44,846 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-035367 · doc4.xml · nonDerivative · entry 9 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 24,140 F8 · kind: 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. F8 · price: 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 · ownership.nature: 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). 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. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass A Common Stock | 68,986 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-035367 · doc4.xml · nonDerivative · entry 8 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 68,986 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · kind: 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. F8 · price: 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 · ownership.nature: 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). 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. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | OtherClass A Common Stock | 931,763 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-035367 · doc4.xml · nonDerivative · entry 7 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures Growth IV (Jersey) L.P. Disclosed balance after: 0 F6 · kind: 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. F6 · price: 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 · ownership.nature: 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. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass A Common Stock | 931,763 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-035367 · doc4.xml · nonDerivative · entry 6 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures Growth IV (Jersey) L.P. Disclosed balance after: 931,763 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · kind: 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. F6 · price: 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 · ownership.nature: 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. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | OtherClass A Common Stock | 576,217 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-035367 · doc4.xml · nonDerivative · entry 5 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Venture Associates VII Limited Disclosed balance after: 0 F1 · kind: 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. F3 · kind: On November 4, 2022, Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. ("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. F1 · price: 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. F3 · price: On November 4, 2022, Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. ("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. F5 · ownership.nature: The shares are held by IVA VII. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | OtherClass A Common Stock | 83,953 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-035367 · doc4.xml · nonDerivative · entry 4 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Disclosed balance after: 0 F3 · kind: On November 4, 2022, Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. ("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. F3 · price: On November 4, 2022, Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. ("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 · ownership.nature: 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. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass A Common Stock | 83,953 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-035367 · doc4.xml · nonDerivative · entry 3 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Disclosed balance after: 83,953 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · kind: On November 4, 2022, Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. ("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. F3 · price: On November 4, 2022, Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. ("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 · ownership.nature: 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. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | OtherClass A Common Stock | 3,247,544 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-035367 · doc4.xml · nonDerivative · entry 2 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,511 F1 · kind: 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. F1 · price: 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 · ownership.direct: The shares are held by Index VII. 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. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 16:30 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass A Common Stock | 3,388,055 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-035367 · doc4.xml · nonDerivative · entry 1 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,388,055 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. F1 · price: 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 · ownership.direct: The shares are held by Index VII. 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. Read SEC document |
| August 08, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | SaleClass A Common Stock | 16,093 | $33.40 | $537,472.40 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · nonDerivative · entry 10 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 0 F10 · price: 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. F9 · ownership.nature: 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. Read SEC document |
| August 08, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | OtherClass A Common Stock | 29,898 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · nonDerivative · entry 9 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 16,093 F8 · kind: 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. F8 · price: 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. F9 · ownership.nature: 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. Read SEC document |
| August 08, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | SaleClass A Common Stock | 304,707 | $33.40 | $10,176,573.92 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · nonDerivative · entry 8 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures Growth IV (Jersey) L.P. Disclosed balance after: 0 F10 · price: 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. F6 · ownership.nature: 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. Read SEC document |
| August 08, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | OtherClass A Common Stock | 55,969 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · nonDerivative · entry 7 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Disclosed balance after: 0 F3 · kind: 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. F3 · price: 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. F4 · ownership.nature: 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. Read SEC document |
| August 08, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | OtherClass A Common Stock | 2,258,703 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · nonDerivative · entry 6 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: 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"). F1 · price: 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"). F2 · ownership.direct: 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. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 45,991 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · derivative · entry 14 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 367,927 Underlying: Class A Common Stock · 45,991 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F11 · derivative.exercise_price: 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. F8 · kind: 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. F11 · derivative.exercise_date: 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. F11 · derivative.expiration_date: 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. F9 · ownership.nature: 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. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 621,175 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · derivative · entry 13 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures Growth IV (Jersey) L.P. Disclosed balance after: 4,969,403 Underlying: Class A Common Stock · 621,175 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F11 · derivative.exercise_price: 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. F5 · kind: 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. F11 · derivative.exercise_date: 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. F11 · derivative.expiration_date: 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. F6 · ownership.nature: 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. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 55,969 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · derivative · entry 12 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Disclosed balance after: 447,749 Underlying: Class A Common Stock · 55,969 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F11 · derivative.exercise_price: 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. F3 · kind: 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. F11 · derivative.exercise_date: 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. F11 · derivative.expiration_date: 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. F4 · ownership.nature: 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. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 2,258,703 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · derivative · entry 11 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,069,628 Underlying: Class A Common Stock · 2,258,703 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F11 · derivative.exercise_price: 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. F1 · kind: 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"). F11 · derivative.exercise_date: 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. F11 · derivative.expiration_date: 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 · ownership.direct: 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. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass A Common Stock | 45,991 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · nonDerivative · entry 5 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 45,991 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · kind: 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. F8 · price: 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. F9 · ownership.nature: 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. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | SaleClass A Common Stock | 316,468 | $33.77 | $10,687,915.53 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · nonDerivative · entry 4 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures Growth IV (Jersey) L.P. Disclosed balance after: 304,707 F7 · price: 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. F6 · ownership.nature: 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. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass A Common Stock | 621,175 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · nonDerivative · entry 3 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures Growth IV (Jersey) L.P. Disclosed balance after: 621,175 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · kind: 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. F5 · price: 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. F6 · ownership.nature: 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. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass A Common Stock | 55,969 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · nonDerivative · entry 2 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Disclosed balance after: 55,969 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · kind: 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. F3 · price: 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. F4 · ownership.nature: 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. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 19:02 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass A Common Stock | 2,258,703 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-028157 · doc4.xml · nonDerivative · entry 1 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,258,703 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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"). F1 · price: 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"). F2 · ownership.direct: 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. Read SEC document |
| May 18, 2022 Filed May 20, 2022 16:15 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 45,916 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-019020 · doc4.xml · derivative · entry 21 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 413,918 Underlying: Class A Common Stock · 45,916 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F15 · derivative.exercise_price: 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. F12 · kind: On May 18, 2022, Yucca (Jersey) SLP ("Yucca") converted in the aggregate 45,916 shares of the Issuer's Class B Common Stock into 45,916 shares of the Issuer's Class A Common Stock. Subsequently on the same date, Yucca distributed in-kind, without consideration, 29,849 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. F15 · derivative.exercise_date: 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. F15 · derivative.expiration_date: 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. F14 · ownership.nature: 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. Read SEC document |
| May 18, 2022 Filed May 20, 2022 16:15 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 621,175 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-019020 · doc4.xml · derivative · entry 20 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures Growth IV (Jersey) L.P. Disclosed balance after: 5,590,578 Underlying: Class A Common Stock · 621,175 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F15 · derivative.exercise_price: 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. F10 · kind: On May 18, 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. Subsequently on the same date, Index Growth IV distributed in-kind, without consideration, 621,175 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. F15 · derivative.exercise_date: 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. F15 · derivative.expiration_date: 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. F11 · ownership.nature: 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. Read SEC document |
| May 18, 2022 Filed May 20, 2022 16:15 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 55,850 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-019020 · doc4.xml · derivative · entry 19 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. Disclosed balance after: 503,718 Underlying: Class A Common Stock · 55,850 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F15 · derivative.exercise_price: 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. F7 · kind: On May 18, 2022, Index Ventures VII Parallel Entrepreneur Fund (Jersey) L.P. ("Index VII Parallel") converted in the aggregate 55,850 shares of the Issuer's Class B Common Stock into 55,850 shares of the Issuer's Class A Common Stock. Subsequently on the same date, Index VII Parallel distributed in-kind, without consideration, 55,850 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. F15 · derivative.exercise_date: 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. F15 · derivative.expiration_date: 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. F9 · ownership.nature: 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. Read SEC document |
| May 18, 2022 Filed May 20, 2022 16:15 UTC | Confluent, Inc. CFLT · Entity 57136 | ConversionClass B Common Stock · Derivative | 2,253,905 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-019020 · doc4.xml · derivative · entry 18 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,328,331 Underlying: Class A Common Stock · 2,253,905 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F15 · derivative.exercise_price: 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. F1 · kind: On May 18, 2022, Index Ventures VII (Jersey) L.P. ("Index VII") converted in the aggregate 2,253,905 shares of the Issuer's Class B Common Stock into 2,253,905 shares of the Issuer's Class A Common Stock. Subsequently on the same date, Index VII distributed in-kind, without consideration, 2,253,905 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"). F15 · derivative.exercise_date: 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. F15 · derivative.expiration_date: 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. F3 · ownership.direct: 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. Read SEC document |
| May 18, 2022 Filed May 20, 2022 16:15 UTC | Confluent, Inc. CFLT · Entity 57136 | SaleClass A Common Stock | 672 | $19.32 | $12,984.52 |
DisclosureSEC source: 0000899243-22-019020 · doc4.xml · nonDerivative · entry 17 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 0 F6 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.24 - $19.44. 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. F14 · ownership.nature: 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. Read SEC document |
| May 18, 2022 Filed May 20, 2022 16:15 UTC | Confluent, Inc. CFLT · Entity 57136 | SaleClass A Common Stock | 6,320 | $18.81 | $118,866.56 |
DisclosureSEC source: 0000899243-22-019020 · doc4.xml · nonDerivative · entry 16 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 672 F5 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.24 - $19.23. 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. F14 · ownership.nature: 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. Read SEC document |
| May 18, 2022 Filed May 20, 2022 16:15 UTC | Confluent, Inc. CFLT · Entity 57136 | SaleClass A Common Stock | 9,150 | $17.83 | $163,152.74 |
DisclosureSEC source: 0000899243-22-019020 · doc4.xml · nonDerivative · entry 15 INDEX VENTURES VII (JERSEY), L.P. · CIK 0001604856 · 10% owner INDEX VENTURES VII PARALLEL ENTREPRENEUR FUND (JERSEY), L.P. · CIK 0001612238 · 10% owner Index Venture Associates VII Ltd · CIK 0001866169 · 10% owner Index Ventures Growth IV (Jersey), L.P. · CIK 0001746441 · 10% owner Yucca (Jersey) SLP · CIK 0001591294 · 10% owner Index Venture Growth Associates IV Ltd · CIK 0001865141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Yucca (Jersey) SLP Disclosed balance after: 6,992 F4 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.24 - $18.23. 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. F14 · ownership.nature: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.