Filing Details

Accession Number:
0001140361-15-008703
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-02-24 16:27:30
Reporting Period:
2014-12-17
Filing Date:
2015-02-24
Accepted Time:
2015-02-24 16:27:30
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
1447962 Ltd Iv Associates Venture Index 44 Esplanade
St. Hellier, Channel Islands Y9 JE4 9WG
No No Yes No
1519287 Index Ventures Iv Parallel Entrepreneur Fund (Jersey) Lp 44 The Esplanade
St. Helier Y9 JE4 9WG
No No Yes No
1519288 Index Ventures Iv (Jersey) Lp 44 The Esplanade
The Esplanade
St. Helier Y9 JE4 9WG
No No Yes No
1591294 Slp (Jersey) Yucca 44 The Esplanade
St. Helier Y9 JE4 9WG
No 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 45,300 $16.00 56,625 No 4 P Direct
Common Stock Acquisiton 2014-12-17 4,300 $16.00 5,374 No 4 P Direct
Common Stock Acquisiton 2014-12-17 400 $16.00 500 No 4 P Direct
Common Stock Acquisiton 2014-12-17 1,495,800 $0.00 1,552,425 No 4 C Direct
Common Stock Acquisiton 2014-12-17 141,981 $0.00 147,355 No 4 C Direct
Common Stock Acquisiton 2014-12-17 13,207 $0.00 13,707 No 4 C Direct
Common Stock Acquisiton 2014-12-17 0 $0.00 9,375 No 4 P Indirect Michelangelo Volpi
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 C Direct
No 4 C Direct
No 4 C Direct
No 4 P Indirect Michelangelo Volpi
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series B Convertible Preferred Stock Acquisiton 2014-12-17 2,575,816 $0.00 1,287,908 $0.00
Common Stock Series B Convertible Preferred Stock Acquisiton 2014-12-17 244,497 $0.00 122,248 $0.00
Common Stock Series B Convertible Preferred Stock Acquisiton 2014-12-17 22,745 $0.00 11,372 $0.00
Common Stock Series C Convertible Preferred Stock Acquisiton 2014-12-17 235,921 $0.00 117,960 $0.00
Common Stock Series C Convertible Preferred Stock Acquisiton 2014-12-17 22,394 $0.00 11,197 $0.00
Common Stock Series C Convertible Preferred Stock Acquisiton 2014-12-17 2,083 $0.00 1,041 $0.00
Common Stock Series D Convertible Preferred Stock Acquisiton 2014-12-17 179,864 $0.00 89,932 $0.00
Common Stock Series D Convertible Preferred Stock Acquisiton 2014-12-17 17,073 $0.00 8,536 $0.00
Common Stock Series D Convertible Preferred Stock Acquisiton 2014-12-17 1,588 $0.00 794 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
Footnotes
  1. The securities are held by Index Ventures IV (Jersey) L.P. ("Index Ventures IV"). Index Venture Associates IV Limited is the managing general partner of Index Ventures IV. Paul Willing, Sinead Meehan, David Hall, Bernard Dalle and Phil Balderson are directors of Index Venture Associates IV Limited. Messrs. Willing, Hall, Dalle, Balderson and Ms. Meehan share voting and dispositive power with respect to the securities. Each of these persons disclaims beneficial ownership of these securities except to the extent of his or her pecuniary interest therein.
  2. The securities are held by Index Ventures IV Parallel Entrepreneur Fund (Jersey) L.P. ("Index Entrepreneur Fund"). Index Venture Associates IV Limited is the managing general partner of Index Entrepreneur Fund. Paul Willing, Sinead Meehan, David Hall, Bernard Dalle and Phil Balderson are directors of Index Venture Associates IV Limited. Messrs. Willing, Hall, Dalle, Balderson and Ms. Meehan share voting and dispositive power with respect to the securities. Each of these persons disclaims beneficial ownership of these securities except to the extent of his or her pecuniary interest therein.
  3. The securities are held by Yucca (Jersey) SLP ("Yucca"). Of Yucca's total ownership of 35,124 shares of Hortonworks, Inc, the above shares represent those securities held in a coinvestment fund that is contractually required to mirror Index Venture Associates IV Limited's investment. As a result, Messrs. Willing, Hall, Dalle, Balderson and Ms. Meehan may be deemed to have voting and dispositive power over Yucca's shares by virtue of its shared dispositive power over and shared voting power over the shares held by Index Venture Associates IV Limited. Each of these persons disclaims beneficial ownership of the securities except to the extent of his or her pecuniary interest therein.
  4. Each share of Series B Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock automatically converted into common stock on a 2-for1 basis (for every two preferred, one common) immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date nor conversion price. The number of underlying shares of common stock is shown in the table above.
  5. In connection with initial public offering of Hortonworks which was consummated on December 17, 2014, Mr. Volpi was awarded 9,375 shares of restricted stock as per Hortonworks' company policy. Under applicable contractual agreements and investment policies, Index Ventures V, Index Entrepreneur Fund, Index Venture Associates V Limited and Yucca have a pecuniary interest with respect to such shares and the proceeds of their sale. Each of these persons disclaims beneficial ownership of these securities except to the extent of its pecuniary interest therein.