Filing Details

Accession Number:
0001209191-14-076742
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-12-18 17:13:58
Reporting Period:
2014-12-17
Filing Date:
2014-12-18
Accepted Time:
2014-12-18 17:13:58
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1610532 Hortonworks Inc. HDP Services-Prepackaged Software (7372) 371634325
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1219230 H Peter Fenton 2965 Woodside Road
Woodside CA 94062
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-12-17 100,000 $16.00 100,000 No 4 P Indirect By Benchmark Capital Partners VI, L.P.
Common Stock Acquisiton 2014-12-17 196,397 $0.00 296,397 No 4 C Indirect By Benchmark Capital Partners VI, L.P.
Common Stock Acquisiton 2014-12-17 6,336,803 $0.00 6,336,803 No 4 C Indirect By Benchmark Capital Partners VII, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Benchmark Capital Partners VI, L.P.
No 4 C Indirect By Benchmark Capital Partners VI, L.P.
No 4 C Indirect By Benchmark Capital Partners VII, L.P.
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Convertible Preferred Stock Disposition 2014-12-17 11,758,712 $0.00 5,879,356 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2014-12-17 522,101 $0.00 261,050 $0.00
Common Stock Series D Convertible Preferred Stock Disposition 2014-12-17 392,794 $0.00 196,397 $0.00
Common Stock Series D Convertible Preferred Stock Disposition 2014-12-17 392,795 $0.00 196,397 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. Shares held of record by Benchmark Capital Partners VI, L.P. ("BCP VI"), as nominee for BCP VI, Benchmark Founders' Fund VI, L.P. ("BFF VI"), Benchmark Founders' Fund VI-B, L.P. ("BFF VI-B") and related persons. Benchmark Capital Management Co. VI, L.L.C. ("BCMC VI"), the general partner of each of BCP VI, BFF VI and BFF VI-B, may be deemed to have sole voting and investment power over such shares. Alexandre Balkanski, Matthew R.Cohler, Bruce W. Dunlevie, Peter H. Fenton, J. William Gurley, Kevin R. Harvey, Robert C. Kagle, Mitchell H. Lasky and Steven M. Spurlock are the managing members of BCMC VI, which serves as general partner to BCP VI, BFF VI, L.P. and BFF VI-B, L.P., and may be deemed to share voting and investment power over the shares beneficially held by such entities.
  2. (Continued from footnote 1) Each such person and entity disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such person's or entity's pecuniary interest in such securities).
  3. Each share of Series A Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock automatically converted into Common Stock on a 1-for-2 basis (one share of Common Stock for every two shares of Preferred Stock) immediately prior to the closing of the Issuer's initial public offering of Common Stock and has no expiration date or conversion price.
  4. Shares held of record by Benchmark Capital Partners VII, L.P, ("BCP VII"), as nominee for BCP VII, Benchmark Founders' Fund VII, L.P. ("BFF VII"), Benchmark Founders' Fund VII-B, L.P. ("BFF VII-B") and related persons. Benchmark Capital Management Co. VII, L.L.C. ("BCMC VII"), the general partner of each of BCP VII, BFF VII and BFF VII-B, may be deemed to have sole voting and investment power over such shares. Matthew R. Cohler, Bruce W. Dunlevie, Peter H. Fenton, J. William Gurley, Kevin R. Harvey, Steven M. Spurlock, and Mitchell H. Lasky are the managing members of BCMC VII, which serves as general partner to BCP VII, BFF VII and BFF VII-B, and may be deemed to share voting and investment power over the shares beneficially held by such entities. Each such person and entity disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such person's or entity's pecuniary interest in such securities).