SEC Form 5 · accession 0000899243-17-003991
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michelangelo Volpi
Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 4:55 pm EST
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 | Jun 14, 2016 | G | 6,934 | $0.00 | D | 12,998 | D | |
| Common StockF1 | holding | — | — | — | 1,552,425 | I | By Index Ventures IV (Jersey), L.P. | |
| Common StockF1 | holding | — | — | — | 147,355 | I | By Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P. | |
| Common StockF1 | holding | — | — | — | 1,678,475 | I | By Index Ventures V (Jersey), L.P. | |
| Common StockF1 | holding | — | — | — | 13,596 | I | By Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P. | |
| Common StockF1 | holding | — | — | — | 35,124 | I | By Yucca (Jersey) SLP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.