SEC Form 4 · accession 0000899243-16-021149
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michelangelo Volpi
Director
Period of report
May 25, 2016
Accepted (ET)
May 27, 2016 · 8:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001610532
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 5, 2016 | G | 9,375 | $0.00 | D | 6,934 | D | |
| Common StockF1 | May 25, 2016 | A | 12,998 | $0.00 | A | 19,932 | D | |
| Common StockF2 | holding | — | — | — | 1,552,425 | I | By Index Ventures IV (Jersey), L.P. | |
| Common StockF2 | holding | — | — | — | 147,355 | I | By Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P. | |
| Common StockF2 | holding | — | — | — | 1,678,475 | I | By Index Ventures V (Jersey), L.P. | |
| Common StockF2 | holding | — | — | — | 13,596 | I | By Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P. | |
| Common StockF2 | holding | — | — | — | 35,124 | I | By Yucca (Jersey) SLP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Exempt grant of restricted stock units under the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan. The units will vest and settle for shares of Common Stock of the Issuer on May 25, 2017, subject to the Reporting Person's continuous service as a board member through such date. Unvested shares are subject to acceleration upon the occurrence of certain events.
- F2The 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.