| 表格4 |
美國證券交易委員會 華盛頓特區 20549 持權益變更聲明書 根據1934年證券交易法第16(a)條或1940年投資公司法第30(h)條進行申報 或根據1940年投資公司法第30(h)條或1934年證券交易法第16(a)條進行申報 |
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| 如果不再受第16條的限制，請勾選此框。表格4或表格5的申報事項可能仍需繼續。 見說明 說明1(b)。 | |||||||||||||||||
| 勾選此方塊以表示已根據發行人股權證券的購買或出售的合約、指示或書面計劃進行交易，旨在滿足10b5-1(c)條規的積極辯護條件。參閱第10條指示。 | |||||||||||||||||
1. 報告人的姓名和地址*
(街道)
|
2. 發行人名稱
和 逐筆明細或交易代碼
OneStream, Inc. [ OS ] |
5. 報告人與發行人之關係
（勾選適用者）
|
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3. 最早交易日期
（月/日/年） 11/14/2024 | ||||||||||||||||||||||||||
|
4. 如為修訂，原始註冊日期
（月/日/年） |
6. 個人或合併/群體申報（選擇適用的行）
|
| 表 I-收購、出售或利益擁有的非衍生性證券 | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| 1.保安職稱 (管理局) 3) | 二.交易日期 (月/日/年) | 二 A.視為執行日期 (如有) (月/日/年) | 三.交易代碼（實施。 八) | 4.收購 (A) 或出售 (D) 的證券 (實施) 3、4 和 5) | 5. 已報告交易後獲利擁有的證券金額 (實施) 3 和 4) | 六.所有權表格：直接（D）或間接（I）（實施。 4) | 七.間接受益擁有權的性質（實施） 4) | |||
| 代碼 | V | 金額 | (A) 或 (D) | 價格 | ||||||
| A 類普通股 | 11/14/2024 | C | 3,432,334 | A | (2) | 3,432,334 | I | 請參閱註腳(4)(7)(16)(17) | ||
| A 類普通股 | 11/14/2024 | C | 426,807 | A | (2) | 426,807 | I | 請參閱註腳(5)(7)(16)(17) | ||
| A 類普通股 | 11/14/2024 | C | 11,359 | A | (2) | 11,359 | I | 請參閱註腳(6)(7)(16)(17) | ||
| A 類普通股 | 11/14/2024 | C | 287,524 | A | (2) | 287,524 | I | 請參閱註腳(8)(16)(17) | ||
| A 類普通股 | 11/14/2024 | C | 204,269 | A | (2) | 204,269 | I | 請參閱註腳(9)(16)(17) | ||
| A 類普通股 | 11/14/2024 | C | 99,143 | A | (2) | 99,143 | I | 請參閱註腳(10)(16)(17) | ||
| A 類普通股 | 11/14/2024 | C | 693,998 | A | (2) | 693,998 | I | 請參閱註腳(11)(16)(17) | ||
| A 類普通股 | 11/14/2024 | C | 932,505 | A | (2) | 932,505 | I | 請參閱註腳(12)(14)(16)(17) | ||
| A 類普通股 | 11/14/2024 | C | 139,753 | A | (2) | 139,753 | I | 請參閱註腳(13)(14)(16)(17) | ||
| A 類普通股 | 11/14/2024 | C | 148,719 | A | (2) | 148,719 | I | 請參閱註腳(15)(16)(17) | ||
| A 類普通股 | 11/18/2024 | S | 3,432,334 | D | $29.9925(18) | 0 | I | 請參閱註腳(4)(7)(16)(17) | ||
| A 類普通股 | 11/18/2024 | S | 426,807 | D | $29.9925(18) | 0 | I | 請參閱註腳(5)(7)(16)(17) | ||
| A 類普通股 | 11/18/2024 | S | 11,359 | D | $29.9925(18) | 0 | I | 請參閱註腳(6)(7)(16)(17) | ||
| A 類普通股 | 11/18/2024 | S | 287,524 | D | $29.9925(18) | 0 | I | 請參閱註腳(8)(16)(17) | ||
| A 類普通股 | 11/18/2024 | S | 204,269 | D | $29.9925(18) | 0 | I | 請參閱註腳(9)(16)(17) | ||
| A 類普通股 | 11/18/2024 | S | 99,143 | D | $29.9925(18) | 0 | I | 請參閱註腳(10)(16)(17) | ||
| A 類普通股 | 11/18/2024 | S | 693,998 | D | $29.9925(18) | 0 | I | 請參閱註腳(11)(16)(17) | ||
| A 類普通股 | 11/18/2024 | S | 932,505 | D | $29.9925(18) | 0 | I | 請參閱註腳(12)(14)(16)(17) | ||
| A 類普通股 | 11/18/2024 | S | 139,753 | D | $29.9925(18) | 0 | I | 請參閱註腳(13)(14)(16)(17) | ||
| A 類普通股 | 11/18/2024 | S | 148,719 | D | $29.9925(18) | 0 | I | 請參閱註腳(15)(16)(17) | ||
|
表二-獲得、出售或利益擁有的衍生性證券 （例如，買賣、認股權證、期權、可換股證券） | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1.衍生證券名稱（實施。 3) | 二.衍生性證券的轉換或行使價 | 三.交易日期 (月/日/年) | 三.視為執行日期 (如有) (月/日/年) | 4.交易代碼（實施。 八) | 5. 收購 (A) 或出售的衍生性證券數目 (D) (實施. 3、4 和 5) | 六.可行使日期和到期日 (月/日/年) | 七.相關衍生工具證券的所有權及金額 (實施) 3 和 4) | 八.衍生證券價格（實施。 5) | 九. 已報告交易後獲利持有衍生工具證券數目 (實施) 4) | 十.所有權表格：直接（D）或間接（I）（實施。 4) | 十一.間接受益擁有權的性質（實施） 4) | ||||
| 代碼 | V | (A) | (D) | 可執行日期 | 到期日 | 標題 | 股份數量或數目 | ||||||||
| D 類普通股 | (2) | 11/14/2024 | C | 3,432,334 | (2) | (2) | A 類普通股 | 3,432,334 | $0 | 26,742,749 | I | 請參閱註腳(4)(7)(16)(17) | |||
| D 類普通股 | (2) | 11/14/2024 | C | 426,807 | (2) | (2) | A 類普通股 | 426,807 | $0 | 3,325,433 | I | 請參閱註腳(5)(7)(16)(17) | |||
| D 類普通股 | (2) | 11/14/2024 | C | 11,359 | (2) | (2) | A 類普通股 | 11,359 | $0 | 88,505 | I | 請參閱註腳(6)(7)(16)(17) | |||
| D 類普通股 | (2) | 11/14/2024 | C | 287,524 | (2) | (2) | A 類普通股 | 287,524 | $0 | 2,240,216 | I | 請參閱註腳(8)(16)(17) | |||
| D 類普通股 | (2) | 11/14/2024 | C | 204,269 | (2) | (2) | A 類普通股 | 204,269 | $0 | 1,591,549 | I | 請參閱註腳(9)(16)(17) | |||
| D 類普通股 | (2) | 11/14/2024 | C | 99,143 | (2) | (2) | A 類普通股 | 99,143 | $0 | 772,461 | I | 請參閱註腳(10)(16)(17) | |||
| D 類普通股 | (2) | 11/14/2024 | C | 693,998 | (2) | (2) | A 類普通股 | 693,998 | $0 | 5,407,224 | I | 請參閱註腳(11)(16)(17) | |||
| D 類普通股 | (2) | 11/14/2024 | C | 932,505 | (2) | (2) | A 類普通股 | 932,505 | $0 | 7,265,535 | I | 請參閱註腳(12)(14)(16)(17) | |||
| D 類普通股 | (2) | 11/14/2024 | C | 139,753 | (2) | (2) | A 類普通股 | 139,753 | $0 | 1,088,873 | I | 請參閱註腳(13)(14)(16)(17) | |||
| D 類普通股 | (2) | 11/14/2024 | C | 148,719 | (2) | (2) | A 類普通股 | 148,719 | $0 | 1,158,733 | I | 請參閱註腳(15)(16)(17) | |||
| 共同單位 | (1) | 11/18/2024 | S | 5,993,052 | (1) | (1) | D 類普通股(2) | 5,993,052 | $29.9925(19) | 46,694,373 | I | 請參閱註腳(3)(7)(16)(17) | |||
1。舉報人的姓名和地址*
（街道）
申報人與發行人的關係
| ||||||||||||||||||||||||
1。舉報人的姓名和地址*
（街道）
申報人與發行人的關係
| ||||||||||||||||||||||||
1。舉報人的姓名和地址*
（街道）
申報人與發行人的關係
| ||||||||||||||||||||||||
1。舉報人的姓名和地址*
（街道）
申報人與發行人的關係
| ||||||||||||||||||||||||
1。舉報人的姓名和地址*
（街道）
申報人與發行人的關係
| ||||||||||||||||||||||||
1。舉報人的姓名和地址*
（街道）
申報人與發行人的關係
| ||||||||||||||||||||||||
1。舉報人的姓名和地址*
（街道）
申報人與發行人的關係
| ||||||||||||||||||||||||
1。舉報人的姓名和地址*
（街道）
申報人與發行人的關係
| ||||||||||||||||||||||||
1。舉報人的姓名和地址*
（街道）
申報人與發行人的關係
| ||||||||||||||||||||||||
1。舉報人的姓名和地址*
（街道）
申報人與發行人的關係
|
| Explanation of Responses: |
| 1. Common Units represent limited liability company units of OneStream Software LLC ("Common Units") and an equal number of shares of Class C common stock ("Class C Common Stock") of OneStream, Inc. (the "Issuer"). Common Units may be redeemed by the holder at any time on or following the closing of the Issuer's initial public offering for shares of Class D common stock ("Class D Common Stock") on a one-for-one basis, and a corresponding number of shares of Class C Common Stock will be forfeited in connection with the redemption. The Common Units have no expiration date. The Class D Common Stock is in turn convertible at any time, at the holder's election, into the Issuer's Class A common stock ("Class A Common Stock") on a one-for-one basis. Each outstanding share of Class D Common Stock will automatically convert into one share of the Issuer's Class A Common Stock on the first trading day following the seventh anniversary of the Issuer's initial public offering. |
| 2. The Class D Common Stock is convertible at any time, at the holder's election, into Class A Common Stock on a one-for-one basis. Each outstanding share of Class D Common Stock will automatically convert into one share of the Issuer's Class A Common Stock on the first trading day following the seventh anniversary of the Issuer's initial public offering. |
| 3. Represents securities held by KKR Dream Holdings LLC. KKR Dream Aggregator L.P. is the sole member of KKR Dream Holdings LLC. KKR Dream Aggregator GP LLC is the general partner of KKR Dream Aggregator L.P. KKR Americas Fund XII (Dream) L.P. is the sole member of KKR Dream Aggregator GP LLC. |
| 4. Represents securities held by KKR Americas XII (Dream) Blocker Parent L.P. |
| 5. Represents securities held by KKR Americas XII EEA (Dream) Blocker Parent L.P. |
| 6. Represents securities held by KKR Americas XII (Dream II) Blocker Parent L.P. |
| 7. KKR Associates Americas XII AIV L.P. is the general partner of each of KKR Americas Fund XII (Dream) L.P., KKR Americas XII (Dream) Blocker Parent L.P., KKR Americas XII EEA (Dream) Blocker Parent L.P., and KKR Americas XII (Dream II) Blocker Parent L.P. KKR Americas XII AIV GP LLC is the general partner of KKR Associates Americas XII AIV L.P. |
| 8. Represents securities held by KKR Wolverine I Ltd. KKR Financial Management LLC is the portfolio manager of KKR Wolverine I Ltd. Kohlberg Kravis Roberts & Co. L.P. is the sole member of KKR Financial Management LLC. KKR & Co. GP LLC is the general partner of Kohlberg Kravis Roberts & Co. L.P. KKR Holdco LLC is the sole member of KKR & Co. GP LLC. |
| 9. Represents securities held by KKR TFO Partners L.P. KKR Associates TFO L.P. is the general partner of KKR TFO Partners L.P. KKR TFO GP Limited is the general partner of KKR Associates TFO L.P. |
| 10. Represents securities held by KKR Custom Equity Opportunities Fund L.P. KKR Associates Custom Equity Opportunities L.P. is the general partner of KKR Custom Equity Opportunities Fund L.P. KKR Custom Equity Opportunities Limited is the general partner of KKR Associates Custom Equity Opportunities L.P. |
| 11. Represents securities held by KKR-Milton Strategic Partners L.P. KKR Associates Milton Strategic L.P. is the general partner of KKR-Milton Strategic Partners L.P. KKR Milton Strategic Limited is the general partner of KKR Associates Milton Strategic L.P. |
| 12. Represents securities held by KKR NGT (Dream) Blocker Parent L.P. |
| 13. Represents securities held by KKR NGT (Dream) Blocker Parent (EEA) L.P. |
| 14. KKR Associates NGT L.P. is the general partner of KKR NGT (Dream) Blocker Parent L.P. and KKR NGT (Dream) Blocker Parent (EEA) L.P. KKR Next Gen Tech Growth Limited is the general partner of KKR Associates NGT L.P. |
| 15. Represents securities held by K-PRIME AG Financing LP. K-PRIME Hedge-Finance GP Limited is the general partner of K-PRIME AG Financing LP. K-PRIME Aggregator L.P. is the sole shareholder of K-PRIME Hedge-Finance GP Limited. K-PRIME GP LLC is the general partner of K-PRIME Aggregator L.P. KKR Associates Group L.P. is the sole member of K-PRIME GP LLC. KKR Associates Group GP LLC is the general partner of KKR Associates Group L.P. |
| 16. KKR Group Partnership L.P. is the sole member of each of KKR Americas XII AIV GP LLC, KKR Holdco LLC, and KKR Associates Group GP LLC and sole shareholder of each of KKR TFO GP Limited, KKR Custom Equity Opportunities Limited, KKR Milton Strategic Limited and KKR Next Gen Tech Growth Limited. KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P. KKR Group Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR & Co. Inc. is the sole shareholder of KKR Group Co. Inc. KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP. |
| 17. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. |
| 18. This amount represents the $31.00 secondary public offering price per share of Class A Common Stock less the underwriting discount of $1.0075 per share. |
| 19. The Issuer used a portion of the net proceeds from the closing of its secondary offering of Class A Common Stock to purchase Common Units from certain of the Issuer's equityholders, including KKR Dream Holdings LLC, at a price of $29.9925 per Common Unit. |
| Remarks: |
| Because no more than 10 reporting persons can file any one Form 4 through the Securities and Exchange Commission's EDGAR system, certain affiliates of the Reporting Persons have filed a separate Form 4. |
| See Exhibit 99.1 | 11/18/2024 | |
| ** Signature of Reporting Person | Date | |
| 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. | ||