SEC Form 4 · accession 0001209191-15-047274
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter H Fenton
Director · 10% Owner
Period of report
May 13, 2015
Accepted (ET)
May 27, 2015 · 8:17 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 | May 13, 2015 | A | 6,934 | $0.00 | A | 6,934 | D | |
| Common StockF2 | holding | — | — | — | 296,397 | I | By Benchmark Capital Partners VI, L.P. | |
| Common StockF3 | holding | — | — | — | 6,336,803 | I | By Benchmark Capital Partners VII, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Exempt grant of restricted stock units under the Issuer's 2014 Stock Option and Incentive Plan. The units will vest and settle for shares of Common Stock of the Issuer on May 13, 2016, 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.
- F2Shares held of record by Benchmark Capital Partners VI, L.P. ("BCP VI"), as nominee for BCP VI, Benchmark Founders' Fund VI, L.P. ("BFF VI"), Benchmark Founders' Fund VI-B, L.P. ("BFF VI-B") and related persons. Benchmark Capital Management Co. VI, L.L.C. ("BCMC VI"), the general partner of each of BCP VI, BFF VI and BFF VI-B, may be deemed to have sole voting and investment power over such shares. Peter H. Fenton is a managing member of BCMC VI, which serves as general partner to BCP VI, BFF VI, L.P. and BFF VI-B, L.P., and may be deemed to share voting and investment power over the shares beneficially held by such entities. Mr. Fenton and each such entity disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such person's or entity's pecuniary interest in such securities).
- F3Shares held of record by Benchmark Capital Partners VII, L.P, ("BCP VII"), as nominee for BCP VII, Benchmark Founders' Fund VII, L.P. ("BFF VII"), Benchmark Founders' Fund VII-B, L.P. ("BFF VII-B") and related persons. Benchmark Capital Management Co. VII, L.L.C. ("BCMC VII"), the general partner of each of BCP VII, BFF VII and BFF VII-B, may be deemed to have sole voting and investment power over such shares. Peter H. Fenton is a managing member of BCMC VII, which serves as general partner to BCP VII, BFF VII and BFF VII-B, and may be deemed to share voting and investment power over the shares beneficially held by such entities. Mr. Fenton and each such entity disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such person's or entity's pecuniary interest in such securities).