UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series B Convertible Preferred Stock | Â (4) | Â (4) | Common | 1,287,908 | $ (4) | D (1) | Â |
Series B Convertible Preferred Stock | Â (4) | Â (4) | Common | 122,248 | $ (4) | D (2) | Â |
Series B Convertible Preferred Stock | Â (4) | Â (4) | Common | 11,372 | $ (4) | D (3) | Â |
Series C Convertible Preferred Stock | Â (4) | Â (4) | Common | 117,960 | $ (4) | D (1) | Â |
Series C Convertible Preferred Stock | Â (4) | Â (4) | Common | 11,197 | $ (4) | D (2) | Â |
Series C Convertible Preferred Stock | Â (4) | Â (4) | Common | 1,041 | $ (4) | D (3) | Â |
Series D Convertible Preferred Stock | Â (4) | Â (4) | Common | 89,932 | $ (4) | D (1) | Â |
Series D Convertible Preferred Stock | Â (4) | Â (4) | Common | 8,536 | $ (4) | D (2) | Â |
Series D Convertible Preferred Stock | Â (4) | Â (4) | Common | 794 | $ (4) | D (3) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Index Venture Associates IV Ltd 44 ESPLANADE ST. HELLIER, CHANNEL ISLANDS, Y9 JE4 9WG |
 |  X |  |  |
Index Ventures IV (Jersey) LP 44 THE ESPLANADE THE ESPLANADE ST. HELIER, Y9 JE4 9WG |
 |  X |  |  |
Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 44 THE ESPLANADE ST. HELIER, Y9 JE4 9WG |
 |  X |  |  |
Yucca (Jersey) SLP 44 THE ESPLANADE ST. HELIER, Y9 JE4 9WG |
 |  X |  |  |
Index Ventures IV (Jersey) L.P., by its Managing General Partner Index Venture Associates IV Limited, By: /s/ Giles Johnstone-Scott | 02/24/2015 | |
**Signature of Reporting Person | Date | |
Index Ventures IV Parallel Entrepreneur Fund (Jersey) L.P., by its Managing General Partner Index Venture Associates IV Limited, By: /s/ Giles Johnstone-Scott | 02/24/2015 | |
**Signature of Reporting Person | Date | |
Index Venture Associates IV Limited, By: /s/ Giles Johnstone-Scott | 02/24/2015 | |
**Signature of Reporting Person | Date | |
Elian Employee Benefit Services Limited as Authorized Signatory of Yucca (Jersey) SLP in its capacity as Administrator of the Index Co-Investment Scheme, By: /s/ Giles Johnstone-Scott and By: /s/ Alex Di Santo | 02/24/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The securities are held by Index Ventures IV (Jersey) L.P. ("Index Ventures IV"). Index Venture Associates IV Limited is the managing general partner of Index Ventures IV. Paul Willing, Sinead Meehan, David Hall, Bernard Dalle and Phil Balderson are directors of Index Venture Associates IV Limited. Messrs. Willing, Hall, Dalle, Balderson and Ms. Meehan share voting and dispositive power with respect to the securities. Each of these persons disclaims beneficial ownership of these securities except to the extent of his or her pecuniary interest therein. |
(2) | The securities are held by Index Ventures IV Parallel Entrepreneur Fund (Jersey) L.P. ("Index Entrepreneur Fund"). Index Venture Associates IV Limited is the managing general partner of Index Entrepreneur Fund. Paul Willing, Sinead Meehan, David Hall, Bernard Dalle and Phil Balderson are directors of Index Venture Associates IV Limited. Messrs. Willing, Hall, Dalle, Balderson and Ms. Meehan share voting and dispositive power with respect to the securities. Each of these persons disclaims beneficial ownership of these securities except to the extent of his or her pecuniary interest therein. |
(3) | The securities are held by Yucca (Jersey) SLP ("Yucca"). Of Yucca's total ownership of 35,124 shares of Hortonworks, Inc, the above shares represent those securities held in a coinvestment fund that is contractually required to mirror Index Venture Associates IV Limited's investment. As a result, Messrs. Willing, Hall, Dalle, Balderson and Ms. Meehan may be deemed to have voting and dispositive power over Yucca's shares by virtue of its shared dispositive power over and shared voting power over the shares held by Index Venture Associates IV Limited. Each of these persons disclaims beneficial ownership of the securities except to the extent of his or her pecuniary interest therein. |
(4) | Each share of Series B Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converts into common stock on a 2-for1 basis (for every two preferred, one common) immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date nor conversion price. The number of underlying shares of common stock is shown in the table above. |