0000899243-19-000395.txt : 20190103
0000899243-19-000395.hdr.sgml : 20190103
20190103214947
ACCESSION NUMBER: 0000899243-19-000395
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190103
FILED AS OF DATE: 20190103
DATE AS OF CHANGE: 20190103
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Reasoner Scott
CENTRAL INDEX KEY: 0001415326
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36780
FILM NUMBER: 19508313
MAIL ADDRESS:
STREET 1: C/O QUEST SOFTWARE, INC.
STREET 2: 5 POLARIS WAY
CITY: ALISO VIEJO
STATE: CA
ZIP: 92656
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: 5470 GREAT AMERICA PARKWAY
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
BUSINESS PHONE: 408-916-4121
MAIL ADDRESS:
STREET 1: 5470 GREAT AMERICA PARKWAY
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-01-03
1
0001610532
Hortonworks, Inc.
HDP
0001415326
Reasoner Scott
C/O HORTONWORKS, INC.
5470 GREAT AMERICA PARKWAY
SANTA CLARA
CA
95054
0
1
0
0
See Remarks
Common Stock
2019-01-03
4
U
0
141072
D
0
D
Incentive Stock Option (right to buy)
2019-01-03
4
M
0
26591
D
2024-08-05
Common Stock
26591
0
D
Non-Qualified Stock Option (right to buy)
2019-01-03
4
M
0
16409
D
2024-08-05
Common Stock
16409
0
D
Incentive Stock Option (right to buy)
2019-01-03
4
M
0
1687
D
2024-09-11
Common Stock
1687
0
D
Non-Qualified Stock Option (right to buy)
2019-01-03
4
M
0
10812
D
2024-09-11
Common Stock
10812
0
D
On January 3, 2019, pursuant to the Agreement and Plan of Merger and Reorganization, dated as of October 3, 2018 (the "Merger Agreement"), by and among Cloudera, Inc. ("Cloudera"), Issuer, and Surf Merger Corporation ("Merger Sub"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a direct wholly-owned subsidiary of Cloudera (the "Merger"). Pursuant to the Merger, the Issuer's stockholders received the right to receive 1.305 shares of common stock, par value $0.00005 per share, of Cloudera (the "Merger Consideration") for each share of the Issuer's stock that they own (the "Exchange Ratio"). Pursuant to the Merger, the Reporting Person disposed of all shares of Issuer common stock beneficially owned by it, including the 141,072 shares that were held directly by the Reporting Person, and received the Merger Consideration for each share of Issuer common stock.
Pursuant to the Merger, this incentive stock option was cancelled and converted into an option to acquire Cloudera common stock, with the number of shares and exercise price adjusted for the Exchange Ratio in accordance with the terms of the Merger Agreement.
Pursuant to the Merger, this non-qualified stock option was cancelled and converted into an option to acquire Cloudera common stock, with the number of shares and exercise price adjusted for the Exchange Ratio in accordance with the terms of the Merger Agreement.
Chief Accounting Officer, Corporate Controller and Principal Accounting Officer
/s/ Anne Kuykendall, As Attorney-in-Fact for Scott Reasoner
2019-01-03