# EDGAR Filing Document

**Accession Number:** 0001607841
**File Stem:** 0001062993-23-003812
**Filing Date:** 2023-2
**Character Count:** 12982
**Document Hash:** 2cd005b6a18f892c38fbb7b807a5a42b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001062993-23-003812.hdr.sgml**: 20230216

**ACCESSION NUMBER**: 0001062993-23-003812

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230214

**FILED AS OF DATE**: 20230216

**DATE AS OF CHANGE**: 20230216

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** SC US (TTGP), LTD.
- **CENTRAL INDEX KEY:** 0001607841
- **STATE OF INCORPORATION:** E9
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40526
- **FILM NUMBER:** 23639561

**BUSINESS ADDRESS:**
- **STREET 1:** 2800 SAND HILL RD, SUITE 101
- **CITY:** MENLO PARK
- **STATE:** CA
- **ZIP:** 94025
- **BUSINESS PHONE:** 650-854-3927

**MAIL ADDRESS:**
- **STREET 1:** 2800 SAND HILL RD, SUITE 101
- **CITY:** MENLO PARK
- **STATE:** CA
- **ZIP:** 94025
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Sequoia Capital Fund Parallel, LLC
- **CENTRAL INDEX KEY:** 0001918157
- **STATE OF INCORPORATION:** DE

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40526
- **FILM NUMBER:** 23639560

**BUSINESS ADDRESS:**
- **STREET 1:** 2800 SAND HILL ROAD, SUITE 101
- **CITY:** MENLO PARK
- **STATE:** CA
- **ZIP:** 94025
- **BUSINESS PHONE:** 650.854.3927

**MAIL ADDRESS:**
- **STREET 1:** 2800 SAND HILL ROAD, SUITE 101
- **CITY:** MENLO PARK
- **STATE:** CA
- **ZIP:** 94025
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Confluent, Inc.
- **CENTRAL INDEX KEY:** 0001699838
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-PREPACKAGED SOFTWARE [7372]
- **IRS NUMBER:** 471824387
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 899 W. EVELYN AVENUE
- **CITY:** MOUNTAIN VIEW
- **STATE:** CA
- **ZIP:** 94041
- **BUSINESS PHONE:** 800-439-3207

**MAIL ADDRESS:**
- **STREET 1:** 899 W. EVELYN AVENUE
- **CITY:** MOUNTAIN VIEW
- **STATE:** CA
- **ZIP:** 94041

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>SC US (TTGP), LTD.<br><sub>(Last) (First) (Middle)</sub><br>2800 SAND HILL ROAD, SUITE 101<br><sub>(Street)</sub><br>MENLO PARK, CA 94025<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-14 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Confluent, Inc. [ CFLT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Sequoia Capital Fund Parallel, LLC<br><sub>(Last) (First) (Middle)</sub><br>2800 SAND HILL ROAD, SUITE 101<br><sub>(Street)</sub><br>MENLO PARK, CA 94025<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-14 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Confluent, Inc. [ CFLT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 2023-02-14 |  | C<sup>(1)</sup> |  | 93461 | A | $0 | 93461 | I | Sequoia Capital U.S. Growth Fund VII, L.P.<sup>(3)(4)</sup> |
| Class A Common Stock | 2023-02-14 |  | C<sup>(1)</sup> |  | 68843 | A | $0 | 68843 | I | Sequoia Capital U.S. Growth VII Principals Fund, L.P.<sup>(3)(4)</sup> |
| Class A Common Stock | 2023-02-14 |  | C<sup>(1)</sup> |  | 116080 | A | $0 | 116080 | I | Sequoia Grove II, LLC<sup>(6)</sup> |
| Class A Common Stock | 2023-02-14 |  | J<sup>(2)</sup> |  | 93461 | D | $0 | 0 | I | Sequoia Capital U.S. Growth Fund VII, L.P.<sup>(3)(4)</sup> |
| Class A Common Stock | 2023-02-14 |  | J<sup>(2)</sup> |  | 68843 | D | $0 | 0 | I | Sequoia Capital U.S. Growth VII Principals Fund, L.P.<sup>(3)(4)</sup> |
| Class A Common Stock | 2023-02-14 |  | J<sup>(2)</sup> |  | 116080 | D | $0 | 0 | I | Sequoia Grove II, LLC<sup>(6)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Class B Common Stock | <sup>(1)</sup> | 2023-02-14 |  | C<sup>(1)</sup> |  |  | 93461 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 93461 | $0 | 6411688 | I | Sequoia Capital U.S. Growth Fund VII, L.P.<sup>(3)(4)</sup> |
| Class B Common Stock | <sup>(1)</sup> | 2023-02-14 |  | J<sup>(2)</sup> |  |  | 990731 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 990731 | $0 | 5420957 | I | Sequoia Capital U.S. Growth Fund VII, L.P.<sup>(3)(4)</sup> |
| Class B Common Stock | <sup>(1)</sup> | 2023-02-14 |  | C<sup>(1)</sup> |  |  | 68843 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 68843 | $0 | 484162 | I | Sequoia Capital U.S. Growth VII Principals Fund, L.P.<sup>(3)(4)</sup> |
| Class B Common Stock | <sup>(1)</sup> | 2023-02-14 |  | J<sup>(2)</sup> |  |  | 23324 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 23324 | $0 | 460838 | I | Sequoia Capital U.S. Growth VII Principals Fund, L.P.<sup>(3)(4)</sup> |
| Class B Common Stock | <sup>(1)</sup> | 2023-02-14 |  | C<sup>(1)</sup> |  |  | 116080 | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 116080 | $0 | 782038 | I | Sequoia Grove II, LLC<sup>(6)</sup> |
| Class B Common Stock | <sup>(1)</sup> | 2023-02-14 |  | J<sup>(2)</sup> |  | 991904 |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 991904 | $0 | 6111088 | I | Sequoia Capital Fund, LP<sup>(5)</sup> |
| Class B Common Stock | <sup>(1)</sup> | 2023-02-14 |  | J<sup>(2)</sup> |  | 175301 |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 175301 | $0 | 1232281 | I | Sequoia Capital Fund Parallel, LLC<sup>(5)</sup> |
| Class A Common Stock | <sup>(1)</sup> |  |  |  |  |  |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 2192541 |  | 2192541 | I | Sequoia Capital U.S. Growth Fund VIII, L.P.<sup>(3)(4)</sup> |

---

### Footnotes:

(1) The Issuer's Class B Common Stock is convertible into the Issuer's Class A Common Stock on a one-for-one basis at the election of the holder thereof and has no expiration date. In addition, upon any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's certificate of incorporation.

(2) Represents a pro rata in-kind distribution of shares of Common Stock of the Issuer to partners or members for no consideration and includes subsequent distributions by general partners or managing members to their respective partners or members and, in certain cases, the contribution by such partners or members to the applicable recipient fund.

(3) SC US (TTGP), Ltd. is (i) the general partner of SC U.S. Growth VII Management, L.P., which is the general partner of each of Sequoia Capital U.S. Growth Fund VII, L.P. and Sequoia Capital U.S. Growth VII Principals Fund, L.P. (collectively, the GFVII Funds); and (ii) the general partner of SC U.S. Growth VIII Management, L.P., which is the general partner of Sequoia Capital U.S. Growth Fund VIII, L.P. (GFVIII). As a result, SC US (TTGP), Ltd. may be deemed to share voting and dispositive power with respect to the shares held by the GFVII Funds and GFVIII.

(4) (Continued from Footnote 3) Each of SC US (TTGP), Ltd., SC U.S. Growth VII Management, L.P. and SC U.S. Growth VIII Management, L.P. disclaims beneficial ownership of the shares held by the GFVII Funds and GFVIII, as applicable, except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

(5) SC US (TTGP), Ltd. is the general partner of Sequoia Capital Fund Management, L.P., which is the general partner of Sequoia Capital Fund, LP ("SCF") and managing member of Sequoia Capital Fund Parallel, LLC ("SCFP"). As a result, SC US (TTGP), Ltd. may be deemed to share voting and dispositive power with respect to the shares held by SCF and SCFP. Each of such reporting persons disclaims beneficial ownership of the shares held by SCF and SCFP, as applicable, except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

(6) Sequoia Grove Manager, LLC is a manager of Sequoia Grove II, LLC. Each of Sequoia Grove Manager, LLC and Sequoia Grove II, LLC disclaims beneficial ownership of these securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

**Remarks:**
Form 2 of 2

**Signature:** By: /s/ Jung Yeon Son, by power of attorney for Douglas Leone, a Director of SC US (TTGP), Ltd  
**Date:** 2023-02-16

**Signature:** By: /s/ Jung Yeon Son, by power of attorney for Douglas Leone, a Director of SC US (TTGP), Ltd., the General Partner of Sequoia Capital Fund Management, L.P., the General Partner of Sequoia Capital Fund Parallel, LLC  
**Date:** 2023-02-16

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**