UNITED STATES | |||
SECURITIES AND EXCHANGE COMMISSION | |||
Washington, D.C. 20549 | |||
Hortonworks Inc.
|
Common Stock
|
440894-10-3
|
December 31, 2014
|
(Date of Event which Requires Filing of this Statement)
|
CUSIP No. 440894-10-3
|
13G |
Page 2 of 17 Pages
|
1
|
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Index Ventures IV (Jersey) LP |
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) [X]
|
(b) [ ] | ||
3 | SEC USE ONLY | |
|
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Jersey, Channel Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY
EACH REPORTING PERSON WITH |
5
|
SOLE VOTING POWER
1,552,425
|
|
6
|
SHARED VOTING POWER
0
|
||
7
|
SOLE DISPOSITIVE POWER
1,552,425
|
||
8
|
SHARED DISPOSITIVE POWER
0
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,552,425
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |
[ ]
|
|||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
3.7%
|
||||
12
|
TYPE OF REPORTING PERSON
PN
|
||||
CUSIP No. 440894-10-3
|
13G |
Page 3 of 17 Pages
|
1
|
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP |
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) [X]
|
(b) [ ] | ||
3 | SEC USE ONLY | |
|
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Jersey, Channel Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY
EACH REPORTING PERSON WITH |
5
|
SOLE VOTING POWER
147,355
|
|
6
|
SHARED VOTING POWER
0
|
||
7
|
SOLE DISPOSITIVE POWER
147,355
|
||
8
|
SHARED DISPOSITIVE POWER
0
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
147,355
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |
[ ]
|
|||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.35%
|
||||
12
|
TYPE OF REPORTING PERSON
PN
|
||||
CUSIP No. 440894-10-3
|
13G |
Page 4 of 17 Pages
|
1
|
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Index Venture Associates IV Limited |
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) [X]
|
(b) [ ] | ||
3 | SEC USE ONLY | |
|
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Jersey, Channel Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY
EACH REPORTING PERSON WITH |
5
|
SOLE VOTING POWER
0
|
|
6
|
SHARED VOTING POWER
1,734,904
|
||
7
|
SOLE DISPOSITIVE POWER
0
|
||
8
|
SHARED DISPOSITIVE POWER
1,734,904
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,734,904
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |
[ ]
|
|||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.3%
|
||||
12
|
TYPE OF REPORTING PERSON
CO
|
||||
CUSIP No. 440894-10-3
|
13G |
Page 5 of 17 Pages
|
1
|
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Index Ventures V (Jersey) L.P.
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) [X]
|
(b) [ ] | ||
3 | SEC USE ONLY | |
|
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Jersey, Channel Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY
EACH REPORTING PERSON WITH |
5
|
SOLE VOTING POWER
1,678,475
|
|
6
|
SHARED VOTING POWER
0
|
||
7
|
SOLE DISPOSITIVE POWER
1,678,475
|
||
8
|
SHARED DISPOSITIVE POWER
0
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,678,475
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |
[ ]
|
|||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.0%
|
||||
12
|
TYPE OF REPORTING PERSON
PN
|
||||
CUSIP No. 440894-10-3
|
13G |
Page 6 of 17 Pages
|
1
|
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Yucca (Jersey) SLP |
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) [X]
|
(b) [ ] | ||
3 | SEC USE ONLY | |
|
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Jersey, Channel Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY
EACH REPORTING PERSON WITH |
5
|
SOLE VOTING POWER
35,124
|
|
6
|
SHARED VOTING POWER
0
|
||
7
|
SOLE DISPOSITIVE POWER
35,124
|
||
8
|
SHARED DISPOSITIVE POWER
0
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
35,124
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |
[ ]
|
|||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
<0.1%
|
||||
12
|
TYPE OF REPORTING PERSON
PN
|
||||
CUSIP No. 440894-10-3
|
13G |
Page 7 of 17 Pages
|
1
|
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P. |
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) [X]
|
(b) [ ] | ||
3 | SEC USE ONLY | |
|
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Jersey, Channel Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY
EACH REPORTING PERSON WITH |
5
|
SOLE VOTING POWER
13,596
|
|
6
|
SHARED VOTING POWER
0
|
||
7
|
SOLE DISPOSITIVE POWER
13,596
|
||
8
|
SHARED DISPOSITIVE POWER
0
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,596
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |
[ ]
|
|||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
<0.1%
|
||||
12
|
TYPE OF REPORTING PERSON
PN
|
||||
CUSIP No. 440894-10-3
|
13G |
Page 8 of 17 Pages
|
1
|
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Index Ventures Associates V Limited |
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) [X]
|
(b) [ ] | ||
3 | SEC USE ONLY | |
|
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Jersey, Channel Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY
EACH REPORTING PERSON WITH |
5
|
SOLE VOTING POWER
0
|
|
6
|
SHARED VOTING POWER
1,692,071
|
||
7
|
SOLE DISPOSITIVE POWER
0
|
||
8
|
SHARED DISPOSITIVE POWER
1,692,071
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,692,071
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |
[ ]
|
|||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.0%
|
||||
12
|
TYPE OF REPORTING PERSON
CO
|
||||
CUSIP No. 440894-10-3
|
13G |
Page 9 of 17 Pages
|
Item 1. |
(a)
|
Name of Issuer:
|
Hortonworks, Inc.
|
||
(b)
|
Address of Issuer’s Principal Executive Offices:
|
|
3460 W. Bayshore Road, Palo Alto, California 94303
|
||
Item 2. |
(a)
|
Name of Persons Filing:
|
(i) Index Ventures IV (Jersey) LP | ||
(ii) Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | ||
(iii) Index Venture Associates IV Limited | ||
(iv) Index Ventures V (Jersey) L.P. | ||
(v) Yucca (Jersey) SLP | ||
(vi) Index Venture V Parallel Entrepreneur Fund (Jersey) L.P. | ||
(vii) Index Venture Associates V Limited | ||
(b)
|
Address of Principal Business Office:
|
|
(i) 44 Esplanade, St Helier, JE4 9WG
|
||
(ii) 44 Esplanade, St Helier, JE4 9WG | ||
(iii) 44 Esplanade, St Helier, JE4 9WG | ||
(iv) 44 Esplanade, St Helier, JE4 9WG | ||
(v) No. 1 Seaton Place, St. Helier, JE4 8YJ | ||
(vi) 44 Esplanade, St Helier, JE4 9WG | ||
(vii) 44 Esplanade, St Helier, JE4 9WG | ||
(c)
|
Citizenship:
|
|
(i) Jersey, Channel Islands | ||
(ii) Jersey, Channel Islands | ||
(iii) Jersey, Channel Islands | ||
(iv) Jersey, Channel Islands | ||
(v) Jersey, Channel Islands | ||
(vi) Jersey, Channel Islands | ||
(vii) Jersey, Channel Islands | ||
(d)
|
Title of Class of Securities:
|
|
Common stock, par value $0.0001 per share
|
||
(e)
|
CUSIP Number:
|
|
440894-10-3
|
CUSIP No. 440894-10-3
|
13G |
Page 10 of 17 Pages
|
Item 3. | If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: | ||
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[ ]
|
Broker or dealer registered under Section 15 of the Act;
|
|
|
[ ]
|
Bank as defined in Section 3(a)(6) of the Act;
|
|
|
[ ]
|
Insurance company as defined in Section 3(a)(19) of the Act;
|
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|
[ ]
|
Investment company registered under Section 8 of the Investment Company Act of 1940;
|
|
|
[ ]
|
An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);
|
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[ ]
|
An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);
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|
[ ]
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A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G);
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[ ]
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;
|
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|
[ ]
|
A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940;
|
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|
[ ]
|
A non-U.S. institution in accordance with Section 240.240.13d–1(b)(1)(ii)(J);
|
|
|
[ ]
|
Group, in accordance with Section 240.13d-1(b)(1)(ii)(K).
|
|
If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: _____ |
CUSIP No. 440894-10-3
|
13G |
Page 11 of 17 Pages
|
Item 4.
|
Ownership.
|
|
CUSIP No. 440894-10-3
|
13G |
Page 12 of 17 Pages
|
Item 5. | Ownership of Five Percent or Less of a Class: |
Not applicable. | |
Item 6.
|
Ownership of More than Five Percent on Behalf of Another Person:
|
Not applicable. | |
Item 7. | Identification and Classification of Subsidiaries Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person: |
Not applicable. | |
Item 8. | Identification and Classification of Members of the Group. |
See Exhibit 2. | |
Item 9. | Notice of Dissolution of Group. |
Not applicable. |
Item 10. | Certifications. |
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
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|
CUSIP No. 440894-10-3
|
13G |
Page 13 of 17 Pages
|
Date: February 13, 2015 | ||
INDEX VENTURES IV (JERSEY) LP
By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Director of Index Venture Associates IV
Limited, as Managing General Partner of Index Ventures IV (Jersey) LP |
||
INDEX VENTURES IV PARALLEL ENTREPRENEUR
FUND (JERSEY) LP By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Director of Index Venture Associates IV
Limited, as Managing General Partner of Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP |
||
INDEX VENTURE ASSOCIATES IV LIMITED
By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Director
|
||
YUCCA (JERSEY) SLP
By: Elian Employee Benefit Services Limited as
authorized signatory of Yucca (Jersey) SLP in its capacity as Administrator of the Index Co-Investment Scheme By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Signatory
By: /s/ Alex Di Santo
Name: Alex Di Santo
Title: Alternate Signatory
|
||
CUSIP No. 440894-10-3
|
13G |
Page 14 of 17 Pages
|
INDEX VENTURES V (JERSEY) L.P.
By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Director of Index Venture Associates V
Limited, as Managing General Partner of Index Ventures V (Jersey) L.P. |
||
INDEX VENTURES PARALLEL ENTREPRENEUR FUND V
(JERSEY) L.P. By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Director of Index Venture Associates V
Limited, as Managing General Partner of Index Ventures Parallel Entrepreneur Fund (Jersey) L.P. |
||
INDEX VENTURE ASSOCIATES V LIMITED
By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Director
|
CUSIP No. 440894-10-3
|
13G |
Page 15 of 17 Pages
|
Date: February 13, 2015 | ||
INDEX VENTURES IV (JERSEY) LP
By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Director of Index Venture Associates IV
Limited, as Managing General Partner of Index Ventures IV (Jersey) LP |
||
INDEX VENTURES IV PARALLEL ENTREPRENEUR
FUND (JERSEY) LP By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Director of Index Venture Associates IV
Limited, as Managing General Partner of Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP |
||
INDEX VENTURE ASSOCIATES IV LIMITED
By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Director
|
||
YUCCA (JERSEY) SLP
By: Elian Employee Benefit Services Limited as
authorized signatory of Yucca (Jersey) SLP in its capacity as Administrator of the Index Co-Investment Scheme By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Signatory
By: /s/ Alex Di Santo
Name: Alex Di Santo
Title: Alternate Signatory
|
||
CUSIP No. 440894-10-3
|
13G |
Page 16 of 17 Pages
|
INDEX VENTURES V (JERSEY) L.P.
By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Director of Index Venture Associates V
Limited, as Managing General Partner of Index Ventures V (Jersey) L.P. |
||
INDEX VENTURES PARALLEL ENTREPRENEUR FUND V
(JERSEY) L.P. By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Director of Index Venture Associates V
Limited, as Managing General Partner of Index Ventures Parallel Entrepreneur Fund (Jersey) L.P. |
||
INDEX VENTURE ASSOCIATES V LIMITED
By: /s/ Edward Thorogood
Name: Edward Thorogood
Title: Alternate Director
|
CUSIP No. 440894-10-3
|
13G |
Page 17 of 17 Pages
|