SEC Form 4 · accession 0000899243-18-005723

Hortonworks, Inc. · HDP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Michelangelo Volpi

Director

Period of report

Feb 23, 2018

Accepted (ET)

Feb 27, 2018 · 8:18 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^F1,F4	Feb 23, 2018	S	54,564	$18.12	D	1,348,458	I	By Index Ventures V (Jersey), L.P.
Common Stock^F1,F4	Feb 23, 2018	S	442	$18.12	D	10,924	I	By Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock^F1,F4	Feb 23, 2018	S	50,467	$18.12	D	1,247,191	I	By Index Ventures IV (Jersey), L.P.
Common Stock^F1,F4	Feb 23, 2018	S	4,650	$18.12	D	119,228	I	By Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock^F1,F4	Feb 23, 2018	S	1,142	$18.12	D	28,217	I	By Yucca (Jersey) SLP
Common Stock^F2,F4	Feb 26, 2018	S	65,468	$18.54	D	1,282,990	I	By Index Ventures V (Jersey), L.P.
Common Stock^F2,F4	Feb 26, 2018	S	530	$18.54	D	10,394	I	By Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock^F2,F4	Feb 26, 2018	S	60,551	$18.54	D	1,186,640	I	By Index Ventures IV (Jersey), L.P.
Common Stock^F2,F4	Feb 26, 2018	S	5,580	$18.54	D	113,648	I	By Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock^F2,F4	Feb 26, 2018	S	1,370	$18.54	D	26,847	I	By Yucca (Jersey) SLP
Common Stock^F3,F4	Feb 27, 2018	S	89,567	$18.13	D	1,193,423	I	By Index Ventures V (Jersey), L.P.
Common Stock^F3,F4	Feb 27, 2018	S	726	$18.13	D	9,668	I	By Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock^F3,F4	Feb 27, 2018	S	82,841	$18.13	D	1,103,799	I	By Index Ventures IV (Jersey), L.P.
Common Stock^F3,F4	Feb 27, 2018	S	7,634	$18.13	D	106,014	I	By Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock^F3,F4	Feb 27, 2018	S	1,874	$18.13	D	24,973	I	By Yucca (Jersey) SLP
Common Stock	holding	—	—		—	10,838	D

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $18.00 to $18.55 per share. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by the Reporting Person of each separate price within the range.
F2Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $18.11 to $18.74 per share. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by the Reporting Person of each separate price within the range.
F3Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $18.00 to $18.66 per share. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by the Reporting Person of each separate price within the range.
F4The 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.