X0206 3 2014-12-11 0 0001610532 Hortonworks, Inc. HDP 0001611751 Index Venture Associates V Ltd 44 ESPLANADE ST. HELLIER, CHANNEL ISLANDS Y9 JE4 9WG JERSEY 0 0 1 0 0001611775 Index Ventures V (Jersey), L.P. OGIER HOUSE THE ESPLANADE ST. HELIER Y9 JE4 9WC JERSEY 0 0 1 0 0001611750 Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P. OGIER HOUSE THE ESPLANADE ST. HELIER Y9 JE4 9WC JERSEY 0 0 1 0 0001591294 Yucca (Jersey) SLP 44 THE ESPLANADE ST. HELIER Y9 JE4 9WG JERSEY 0 0 1 0 Common Stock 12245 D Common Stock 99 D Common Stock 156 D Series B Convertible Preferred Stock Common 1392480 D Series B Convertible Preferred Stock Common 11280 D Series B Convertible Preferred Stock Common 17769 D Series C Convertible Preferred Stock Common 127538 D Series C Convertible Preferred Stock Common 1033 D Series C Convertible Preferred Stock Common 1627 D Series D Convertible Preferred Stock Common 97234 D Series D Convertible Preferred Stock Common 787 D Series D Convertible Preferred Stock Common 1240 D The securities are held by Index Ventures V (Jersey) L.P. ("Index Ventures V"). Index Venture Associates V Limited is the managing general partner of Index Ventures V. Paul Willing, Sinead Meehan, David Hall, Bernard Dalle and Phil Balderson are directors of Index Venture Associates V Limited. Messrs. Willing, Hall, Dalle, Balderson and Ms. Meehan share voting and dispositive power with respect to the securities. Each of these persons disclaims beneficial ownership of these securities except to the extent of his or her pecuniary interest therein. The securities are held by Index Ventures V Parallel Entrepreneur Fund (Jersey) L.P. ("Index Entrepreneur Fund"). Index Venture Associates V Limited is the managing general partner of Index Entrepreneur Fund. Paul Willing, Sinead Meehan, David Hall, Bernard Dalle and Phil Balderson are directors of Index Venture Associates V Limited. Messrs. Willing, Hall, Dalle, Balderson and Ms. Meehan share voting and dispositive power with respect to the securities. Each of these persons disclaims beneficial ownership of these securities except to the extent of his or her pecuniary interest therein. The securities are held by Yucca (Jersey) SLP ("Yucca"). Of Yucca's total ownership of 35,124 shares of Hortonworks, Inc, the above shares represent those securities held in a coinvestment fund that is contractually required to mirror Index Venture Associates V Limited's investment. As a result, Messrs. Willing, Hall, Dalle, Balderson and Ms. Meehan may be deemed to have voting and dispositive power over Yucca's shares by virtue of its shared dispositive power over and shared voting power over the shares held by Index Venture Associates V Limited. Each of these persons disclaims beneficial ownership of the securities except to the extent of his or her pecuniary interest therein. Each share of Series B Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converts into common stock on a 2-for1 basis (for every two preferred, one common) immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date nor conversion price. The number of underlying shares of common stock is shown in the table above. Index Ventures V Parallel Entrepreneur Fund (Jersey) L.P., by its Managing General Partner, Index Venture Associates V Limited, By: /s/ Giles Johnstone-Scott 2015-02-24 Index Venture Associates V Limited, By: /s/ Giles Johnstone-Scott 2015-02-24 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/ Giles Johnstone-Scott 2015-02-24 Index Ventures V (Jersey) L.P., by its Managing General Partner Index Venture Associates V Limited, By: /s/ Giles Johnstone-Scott 2015-02-24