0001209191-14-076746.txt : 20141218
0001209191-14-076746.hdr.sgml : 20141218
20141218171734
ACCESSION NUMBER: 0001209191-14-076746
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141217
FILED AS OF DATE: 20141218
DATE AS OF CHANGE: 20141218
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Hortonworks, Inc.
CENTRAL INDEX KEY: 0001610532
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 371634325
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3460 WEST BAYSHORE ROAD
CITY: PALO ALTO
STATE: CA
ZIP: 94303
BUSINESS PHONE: 408-916-4121
MAIL ADDRESS:
STREET 1: 3460 WEST BAYSHORE ROAD
CITY: PALO ALTO
STATE: CA
ZIP: 94303
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Volpi Michelangelo
CENTRAL INDEX KEY: 0001626464
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36780
FILM NUMBER: 141296898
MAIL ADDRESS:
STREET 1: C/O HORTONWORKS, INC.
STREET 2: 3640 W. BAYSHORE RD.
CITY: PALO ALTO
STATE: CA
ZIP: 94303
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-12-17
0
0001610532
Hortonworks, Inc.
HDP
0001626464
Volpi Michelangelo
C/O HORTONWORKS, INC.
5470 GREAT AMERICA PARKWAY
SANTA CLARA
CA
95054
1
0
0
0
Common Stock
9375
D
Common Stock
2014-12-17
4
P
0
45300
16.00
A
56625
I
By Index Ventures IV (Jersey), L.P.
Common Stock
2014-12-17
4
P
0
4300
16.00
A
5374
I
By Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock
2014-12-17
4
P
0
48978
16.00
A
61223
I
By Index Ventures V (Jersey), L.P.
Common Stock
2014-12-17
4
P
0
397
16.00
A
496
I
By Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock
2014-12-17
4
P
0
1025
16.00
A
1281
I
By: Yucca (Jersey) SLP
Common Stock
2014-12-17
4
C
0
1495800
A
1552425
I
By Index Ventures IV (Jersey), L.P.
Common Stock
2014-12-17
4
C
0
141981
A
147355
I
By Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock
2014-12-17
4
C
0
1617252
A
1678475
I
By Index Ventures V (Jersey), L.P.
Common Stock
2014-12-17
4
C
0
13100
A
13596
I
By Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock
2014-12-17
4
C
0
33843
A
35124
I
By: Yucca (Jersey) SLP
Series B Convertible Preferred Stock
2014-12-17
4
C
0
2575816
0.00
D
Common Stock
1287908
0
I
By Index Ventures IV (Jersey), L.P.
Series B Convertible Preferred Stock
2014-12-17
4
C
0
244497
0.00
D
Common Stock
122248
0
I
By Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P.
Series B Convertible Preferred Stock
2014-12-17
4
C
0
2784961
0.00
D
Common Stock
1392480
0
I
By Index Ventures V (Jersey), L.P.
Series B Convertible Preferred Stock
2014-12-17
4
C
0
22560
0.00
D
Common Stock
11280
0
I
By Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P.
Series B Convertible Preferred Stock
2014-12-17
4
C
0
58283
0.00
D
Common Stock
29141
0
I
By: Yucca (Jersey) SLP
Series C Convertible Preferred Stock
2014-12-17
4
C
0
235921
0.00
D
Common Stock
117960
0
I
By Index Ventures IV (Jersey), L.P.
Series C Convertible Preferred Stock
2014-12-17
4
C
0
22394
0.00
D
Common Stock
11197
0
I
By Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P.
Series C Convertible Preferred Stock
2014-12-17
4
C
0
255077
0.00
D
Common Stock
127538
0
I
By Index Ventures V (Jersey), L.P.
Series C Convertible Preferred Stock
2014-12-17
4
C
0
2067
0.00
D
Common Stock
1033
0
I
By Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P.
Series C Convertible Preferred Stock
2014-12-17
4
C
0
5338
0.00
D
Common Stock
2668
0
I
By: Yucca (Jersey) SLP
Series D Convertible Preferred Stock
2014-12-17
4
C
0
179864
0.00
D
Common Stock
89932
0
I
By Index Ventures IV (Jersey), L.P.
Series D Convertible Preferred Stock
2014-12-17
4
C
0
17073
0.00
D
Common Stock
8536
0
I
By Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P.
Series D Convertible Preferred Stock
2014-12-17
4
C
0
194468
0.00
D
Common Stock
97234
0
I
By Index Ventures V (Jersey), L.P.
Series D Convertible Preferred Stock
2014-12-17
4
C
0
1575
0.00
D
Common Stock
787
0
I
By Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P.
Series D Convertible Preferred Stock
2014-12-17
4
C
0
4069
0.00
D
Common Stock
2034
0
I
By: Yucca (Jersey) SLP
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 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 nor conversion price.
The Reporting Person is a partner within the Index Ventures group. Advisors within the Index Ventures group provide advice to Index Ventures IV (Jersey), L.P., Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P., Index Ventures V (Jersey), L.P., Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P. and Yucca (Jersey) SLP (the "Index Funds"). The Reporting Person is involved in making recommendations to the Index Funds, but does not hold voting or dispositive power over the shares held by the Index Funds. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
/s/ David Howard, Attorney in Fact for Michelangelo Volpi
2014-12-18