Hortonworks Inc.
|
(Name of Issuer)
|
Common Stock
|
(Title of Class of Securities)
|
440894-10-3
|
(CUSIP Number)
|
December 31, 2017
|
(Date of Event Which Requires Filing of this Statement)
|
CUSIP No.
|
440894-10-3
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
Index Ventures IV (Jersey) L.P.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☒
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Jersey, Channel Islands
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
1,552,425
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
1,552,425
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
1,552,425
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
2.20%
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
PN
|
|
|
|||
|
|
CUSIP No.
|
440894-10-3
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
Index Ventures IV Parallel Entrepreneur Fund (Jersey) L.P.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☒
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Jersey, Channel Islands
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
147,355
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
147,355
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
147,355
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
0.21%
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
PN
|
|
|
|||
|
|
CUSIP No.
|
440894-10-3
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
Index Venture Associates IV Limited
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☒
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Jersey, Channel Islands
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
1,713,488
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
1,713,488
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
1,713,488
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
2.43%
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
CO
|
|
|
|||
|
|
CUSIP No.
|
440894-10-3
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
Index Ventures V (Jersey) L.P.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☒
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Jersey, Channel Islands
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
1,678,475
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
1,678,475
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
1,678,475
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
2.38%
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
PN
|
|
|
|||
|
|
CUSIP No.
|
440894-10-3
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
Yucca (Jersey) SLP
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☒
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Jersey, Channel Islands
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
35,124
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
35,124
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
35,124
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
0.05%
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
PN
|
|
|
|||
|
|
CUSIP No.
|
440894-10-3
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
Index Ventures V Parallel Entrepreneur Fund (Jersey) L.P.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☒
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Jersey, Channel Islands
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
13,596
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
13,596
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
13,596
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
0.02%
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
PN
|
|
|
|||
|
|
CUSIP No.
|
440894-10-3
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
Index Venture Associates V Limited
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☒
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Jersey, Channel Islands
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
1,713,488
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
1,713,488
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
1,713,488
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
2.43%
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
CO
|
|
|
|||
|
|
Item 1(a). |
Name of Issuer:
Hortonworks, Inc.
|
Item 1(b). |
Address of Issuer's Principal Executive Offices:
5470 Great America Parkway, Santa Clara, CA 95054
|
Item 2(a). | Name of Person Filing: |
i. ii. iii. iv. v. vi. vii. |
Index Ventures IV (Jersey) L.P.
Index Ventures IV Parallel Entrepreneur Fund (Jersey) L.P.
Index Venture Associates IV Limited
Index Ventures V (Jersey) L.P.
Yucca (Jersey) SLP
Index Ventures V Parallel Entrepreneur Fund (Jersey) L.P.
Index Venture Associates V Limited
|
Item 2(b). | Address of Principal Business Office or, if none, Residence: |
i. ii. iii. iv. v. vi. vii. |
44 Esplanade, St. Helier, Jersey, Channel Islands, JE4 9WG
44 Esplanade, St. Helier, Jersey, Channel Islands, JE4 9WG
44 Esplanade, St. Helier, Jersey, Channel Islands, JE4 9WG
44 Esplanade, St. Helier, Jersey, Channel Islands, JE4 9WG
44 Esplanade, St. Helier, Jersey, Channel Islands, JE4 9WG
44 Esplanade, St. Helier, Jersey, Channel Islands, JE4 9WG
44 Esplanade, St. Helier, Jersey, Channel Islands, JE4 9WG
|
Item 2(c). | Citizenship: |
i. ii. iii. iv. v. vi. vii. |
Jersey
Jersey
Jersey
Jersey
Jersey
Jersey
Jersey
|
Item 2(d). |
Title and Class of Securities:
Common stock, par value $0.0001 per share
|
Item 2(e). |
CUSIP Number:
440894-10-3
|
Item 3. |
If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or
|
(a) | ☐ Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o); |
(b) | ☐ Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c); |
(c) | ☐ Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c); |
(d) | ☐ Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
(e) | ☐ Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); |
(f) | ☐ Employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); |
(g) | ☐ Parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G); |
(h) | ☐ Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
(i) | ☐ Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
(j) | ☐ A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J); |
(k) | ☐ Group, in accordance with Section 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____________________________ . |
Item 4. |
Ownership.
Index Ventures IV (Jersey) L.P. (“Index Ventures IV”) is the owner of record of 1,552,425 ordinary shares and Index Ventures IV Parallel Entrepreneur Fund (Jersey) L.P. (“Index Ventures IV Parallel” and together with Index Ventures IV, the “Index IV Funds”) is the owner of record of 147,355 ordinary shares. As the managing general partner of the Index IV Funds, Index Venture Associates IV Limited (“Index IV Limited”) may be deemed to have shared dispositive power and shared voting power over the shares owned by the Index IV Funds.
Index Ventures V (Jersey) L.P. (“Index Ventures V”) is the owner of record of 1,678,475 ordinary shares and Index Ventures V Parallel Entrepreneur Fund (Jersey) L.P. (“Index Ventures V Parallel” and together with Index Ventures V, the “Index V Funds”) is the owner of record of 13,596 ordinary shares. As the managing general partner of the Index V Funds, Index Venture Associates V Limited (“Index V Limited”) may be deemed to have shared dispositive power and shared voting power over the shares owned by the Index V Funds.
Yucca (Jersey) SLP (“Yucca”) is the owner of record of 35,124 ordinary shares. Yucca administers the co-investment vehicle that is contractually required to mirror the Index IV Funds’ and Index V Funds’ investment. As a result, Index IV Limited and Index V Limited may be deemed to have shared dispositive and shared voting power over Yucca’s shares by virtue of its shared dispositive power over and shared voting power over the shares owned by the funds.
|
Item 5. |
Ownership of Five Percent or Less of a Class.
Not applicable.
|
Item 6. |
Ownership of More Than Five Percent on Behalf of Another Person.
Not applicable.
|
Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
Not applicable.
|
Item 8. |
Identification and Classification of Members of the Group.
See Exhibit 2.
|
Item 9. |
Notice of Dissolution of Group.
Not applicable.
|
Item 10.
|
Certification.
|
INDEX VENTURES IV (JERSEY) L.P.
|
||
By:
|
/s/ Sinead Meehan
|
|
Name: Sinead Meehan
|
||
Title: Director
|
INDEX VENTURES IV PARALLEL ENTREPRENEUR FUND (JERSEY) L.P.
|
||
By:
|
/s/ Sinead Meehan
|
|
Name: Sinead Meehan
|
||
Title: Director
|
INDEX VENTURE ASSOCIATES IV LIMITED
|
||
By:
|
/s/ Sinead Meehan
|
|
Name: Sinead Meehan
|
||
Title: Director
|
YUCCA (JERSEY) SLP
|
||
By: | Intertrust Employee Benefit Services Limited as authorized signatory of Yucca (Jersey) SLP in its capacity as an Administrator of the Index Co-Investment Scheme | |
By:
|
/s/ Alex di Santo
|
|
Name: Alex di Santo
|
||
Title: Authorized Signatory
|
By:
|
/s/ Sarah Earles
|
|
Name: Sarah Earles
|
||
Title: Authorized Signatory
|
INDEX VENTURES V (JERSEY) L.P.
|
||
By:
|
/s/ Sinead Meehan
|
|
Name: Sinead Meehan
|
||
Title: Director
|
INDEX VENTURES V PARALLEL ENTREPRENEUR FUND (JERSEY) L.P.
|
||
By:
|
/s/ Sinead Meehan
|
|
Name: Sinead Meehan
|
||
Title: Director
|
INDEX VENTURE ASSOCIATES V LIMITED
|
||
By:
|
/s/ Sinead Meehan
|
|
Name: Sinead Meehan
|
||
Title: Director
|
INDEX VENTURES IV (JERSEY) L.P.
|
||
By:
|
/s/ Sinead Meehan
|
|
Name: Sinead Meehan
|
||
Title: Director
|
INDEX VENTURES IV PARALLEL ENTREPRENEUR FUND (JERSEY) L.P.
|
||
By:
|
/s/ Sinead Meehan
|
|
Name: Sinead Meehan
|
||
Title: Director
|
INDEX VENTURE ASSOCIATES IV LIMITED
|
||
By:
|
/s/ Sinead Meehan
|
|
Name: Sinead Meehan
|
||
Title: Director
|
YUCCA (JERSEY) SLP
|
||
By: | Intertrust Employee Benefit Services Limited as authorized signatory of Yucca (Jersey) SLP in its capacity as an Administrator of the Index Co-Investment Scheme | |
By:
|
/s/ Alex di Santo
|
|
Name: Alex di Santo
|
||
Title: Authorized Signatory
|
By:
|
/s/ Sarah Earles
|
|
Name: Sarah Earles
|
||
Title: Authorized Signatory
|
INDEX VENTURES V (JERSEY) L.P.
|
||
By:
|
/s/ Sinead Meehan
|
|
Name: Sinead Meehan
|
||
Title: Director
|
INDEX VENTURES V PARALLEL ENTREPRENEUR FUND (JERSEY) L.P.
|
||
By:
|
/s/ Sinead Meehan
|
|
Name: Sinead Meehan
|
||
Title: Director
|
INDEX VENTURE ASSOCIATES V LIMITED
|
||
By:
|
/s/ Sinead Meehan
|
|
Name: Sinead Meehan
|
||
Title: Director
|