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