0000899243-19-000382.txt : 20190103
0000899243-19-000382.hdr.sgml : 20190103
20190103214209
ACCESSION NUMBER: 0000899243-19-000382
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190102
FILED AS OF DATE: 20190103
DATE AS OF CHANGE: 20190103
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Davidson Scott
CENTRAL INDEX KEY: 0001626707
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36780
FILM NUMBER: 19508292
MAIL ADDRESS:
STREET 1: 5470 GREAT AMERICA PARKWAY
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
FORMER NAME:
FORMER CONFORMED NAME: Davdson Scott
DATE OF NAME CHANGE: 20141201
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
2019-01-02
1
0001610532
Hortonworks, Inc.
HDP
0001626707
Davidson Scott
C/O HORTONWORKS, INC.
5470 GREAT AMERICA PARKWAY
SANTA CLARA
CA
95054
0
1
0
0
See Remarks
Common Stock
2019-01-02
4
F
0
222238
14.68
D
786504
D
Common Stock
7663
I
Scott & Taryn Davidson Family Trust Dated 4/4/2006
Common Stock
2019-01-03
4
U
0
786504
D
0
D
Common Stock
2019-01-03
4
U
0
7663
D
0
I
Scott & Taryn Davidson Family Trust Dated 4/4/2006
Incentive Stock Option (right to buy)
2019-01-03
4
M
0
47280
D
2024-04-20
Common Stock
47280
0
D
Non-Qualified Stock Option (right to buy)
2019-01-03
4
M
0
386075
D
2024-04-20
Common Stock
386075
0
D
Non-Qualified Stock Option (right to buy)
2019-01-03
4
M
0
92967
D
2024-09-11
Common Stock
92967
0
D
Shares withheld to satisfy tax obligations arising out of vesting of restricted stock units, which were accelerated in connection with the Merger (as defined below).
On January 3, 2019, pursuant to the Agreement and Plan of Merger and Reorganization, dated as of October 3, 2018, 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. Pursuant to the Merger, the Reporting Person disposed of all shares of Issuer common stock beneficially owned by it, including the 786,504 shares that were held directly by the Reporting Person and the 7,663 shares that were held indirectly 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 Operating Officer & Chief Financial Officer
/s/ Anne Kuykendall as Attorney-in-Fact for Scott Davidson
2019-01-03