SEC Form 4 · accession 0000899243-19-000399

Hortonworks, Inc. · HDP

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

Reporting owner

Michelangelo Volpi

Director

Period of report

Jun 4, 2018

Accepted (ET)

Jan 3, 2019 · 9:51 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 4, 2018	G	10,838	$0.00	D	9,765	D
Common Stock^F2,F3	Jan 3, 2019	U	9,765	—	D	0	D
Common Stock^F2,F3,F1	Jan 3, 2019	U	1,126,749	—	D	0	I	By Index Ventures V (Jersey), L.P.
Common Stock^F2,F3,F1	Jan 3, 2019	U	9,128	—	D	0	I	By Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock^F2,F3,F1	Jan 3, 2019	U	1,042,132	—	D	0	I	By Index Ventures IV (Jersey), L.P.
Common Stock^F2,F3,F1	Jan 3, 2019	U	100,332	—	D	0	I	By Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock^F2,F3,F1	Jan 3, 2019	U	23,578	—	D	0	I	Yucca (Jersey) SLP
Common Stock^F1	holding	—	—		—	1,126,749	I	By Index Ventures V (Jersey), L.P.
Common Stock^F1	holding	—	—		—	9,128	I	By Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock^F1	holding	—	—		—	1,042,132	I	By Index Ventures IV (Jersey), L.P.
Common Stock^F1	holding	—	—		—	100,332	I	By Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P.
Common Stock^F1	holding	—	—		—	23,578	I	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.
F2On 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.
F3(Continued from Footnote 2) Pursuant to the Merger, the Reporting Person disposed of all shares of Issuer common stock beneficially owned by it, including the 9,765 shares that were held directly by the Reporting Person, the 1,126,749 shares that were held directly by Index Ventures V (Jersey), L.P., the 9,128 shares that were held directly by Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P., the 1,042,132 shares that were held directly by Index Ventures IV (Jersey), L.P., the 100,332 shares that were held directly by Index Ventures IV Parallel Entrepreneur Fund (Jersey), L.P., and the 23,578 shares that were held directly by Yucca (Jersey) SLP, and received the Merger Consideration for each share of Issuer common stock.