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Filing Details

Accession Number:: 0001140361-15-008711
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-02-24 16:32:41
Reporting Period:: 2014-12-17

Filing Date:: 2015-02-24
Accepted Time:: 2015-02-24 16:32:41
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	Director	Officer	Large Shareholder	Other
1591294	Slp (Jersey) Yucca	44 The Esplanade St. Helier Y9 JE4 9WG	No	No	Yes	No
1611750	Index Ventures V Parallel Entrepreneur Fund (Jersey), L.p.	Ogier House The Esplanade St. Helier Y9 JE4 9WC	No	No	Yes	No
1611751	Ltd V Associates Venture Index	44 Esplanade St. Hellier, Channel Islands Y9 JE4 9WG	No	No	Yes	No
1611775	Index Ventures V (Jersey), L.p.	Ogier House The Esplanade St. Helier Y9 JE4 9WC	No	No	Yes	No

Reported Non-Derivative Transactions

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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	48,978	$16.00	61,223	No	4	P	Direct
Common Stock	Acquisiton	2014-12-17	397	$16.00	496	No	4	P	Direct
Common Stock	Acquisiton	2014-12-17	625	$16.00	781	No	4	P	Direct
Common Stock	Acquisiton	2014-12-17	1,617,252	$0.00	1,678,475	No	4	C	Direct
Common Stock	Acquisiton	2014-12-17	13,100	$0.00	13,596	No	4	C	Direct
Common Stock	Acquisiton	2014-12-17	20,636	$0.00	21,417	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

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series B Convertible Preferred Stock	Disposition	2014-12-17	2,784,961	$0.00	1,392,480	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2014-12-17	22,560	$0.00	11,280	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2014-12-17	35,538	$0.00	17,769	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2014-12-17	255,077	$0.00	127,538	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2014-12-17	2,067	$0.00	1,033	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2014-12-17	3,255	$0.00	1,627	$0.00
Common Stock	Series D Convertible Preferred Stock	Disposition	2014-12-17	194,468	$0.00	97,234	$0.00
Common Stock	Series D Convertible Preferred Stock	Disposition	2014-12-17	1,575	$0.00	787	$0.00
Common Stock	Series D Convertible Preferred Stock	Disposition	2014-12-17	2,481	$0.00	1,240	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct

Footnotes

The securities are held by Index Ventures V (Jersey) L.P. ("Index Ventures V"). Index Venture Associates V Limited is the managing general partner of Index Ventures V. Paul Willing, Sinead Meehan, David Hall, Bernard Dalle and Phil Balderson are directors of Index Venture Associates V 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.
The securities are held by Index Ventures V Parallel Entrepreneur Fund (Jersey) L.P. ("Index Entrepreneur Fund"). Index Venture Associates V 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 V 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.
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 V 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 V Limited. Each of these persons disclaims beneficial ownership of the securities except to the extent of his or her pecuniary interest therein.
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.
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.