HDP Pengajuan SEC - Hortonworks, Inc.- Laporan Tahunan, Pernyataan Kuasa, Prospektus

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SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Hortonworks, Inc.

SEC Filings (Chronological Order)

Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.

February 12, 2019	SC 13G/A	HDP / Hortonworks, Inc. / VANGUARD GROUP INC Passive Investment hortonworksinc.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2 )* Name of issuer: Hortonworks Inc Title of Class of Securities: Common Stock CUSIP Number: 440894103 Date of Event Which Requires Filing of this Statement: December 31, 2018 Check the appropriate box to de
February 11, 2019	SC 13G/A	HDP / Hortonworks, Inc. / BENCHMARK CAPITAL PARTNERS VI LP - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 4)* Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Stat
February 7, 2019	SC 13G/A	HDP / Hortonworks, Inc. / Index Ventures IV (Jersey) LP - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which
January 15, 2019	15-12B	HDP / Hortonworks, Inc. 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-36780 Hortonworks, Inc. (Exact name of registrant as specified in its c
January 11, 2019	S-8 POS	HDP / Hortonworks, Inc. S-8 POS As filed with the Securities and Exchange Commission on January 11, 2019 Registration No.
January 11, 2019	S-8 POS	HDP / Hortonworks, Inc. S-8 POS As filed with the Securities and Exchange Commission on January 11, 2019 Registration No.
January 11, 2019	S-8 POS	HDP / Hortonworks, Inc. S-8 POS As filed with the Securities and Exchange Commission on January 11, 2019 Registration No.
January 11, 2019	S-8 POS	HDP / Hortonworks, Inc. S-8 POS As filed with the Securities and Exchange Commission on January 11, 2019 Registration No.
January 11, 2019	S-8 POS	HDP / Hortonworks, Inc. S-8 POS As filed with the Securities and Exchange Commission on January 11, 2019 Registration No.
January 11, 2019	POS AM	HDP / Hortonworks, Inc. POS AM As filed with the Securities and Exchange Commission on January 11, 2019 Registration No.
January 3, 2019	EX-3.2	Amended and Restated Bylaws of Hortonworks, Inc. Exhibit 3.2 BYLAWS OF HORTONWORKS, INC. As adopted on January 3, 2019 BYLAWS OF HORTONWORKS, INC. (a Delaware corporation) TABLE OF CONTENTS Page ARTICLE I OFFICES 1 1.1 Registered Office 1 1.2 Offices 1 ARTICLE II MEETINGS OF STOCKHOLDERS 1 2.1 Location 1 2.2 Timing 1 2.3 Notice of Meeting 1 2.4 Stockholders’ Records 1 2.5 Special Meetings 2 2.6 Notice of Meeting 2 2.7 Business Transacted at Spec
January 3, 2019	EX-3.1	Amended and Restated Certificate of Incorporation of Hortonworks, Inc. Exhibit 3.1 CERTIFICATE OF INCORPORATION OF HORTONWORKS, INC. ARTICLE I: NAME The name of the corporation is Hortonworks, Inc. (hereinafter the “Corporation”). ARTICLE II: AGENT FOR SERVICE OF PROCESS The address of the registered office of the Corporation in the State of Delaware is 251 Little Falls Drive, Wilmington, Delaware 19808. The name of its registered agent at that address is Corporation
January 3, 2019	8-K	Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 3, 2019 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission File
December 28, 2018	8-K	Other Events, Submission of Matters to a Vote of Security Holders 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 28, 2018 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission
December 28, 2018	425	HDP / Hortonworks, Inc. 8-K (Prospectus) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 28, 2018 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission
December 28, 2018	425	CLDR / Cloudera, Inc. 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 28, 2018 CLOUDERA, INC. (Exact name of Registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 001-38069 (Commission F
December 18, 2018	425	HDP / Hortonworks, Inc. 425 (Prospectus) 425 Filed by Hortonworks, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Subject Company: Hortonworks, Inc. Commission File No. 001-36780 Hortonworks, Inc., a Delaware corporation (Hortonworks), is making the following supplement to the definitive joint proxy statement/prospectus (the Joint Proxy Stat
December 18, 2018	425	CLDR / Cloudera, Inc. 425 (Prospectus) Filed by Cloudera, Inc. Pursuant to Rule 425 Under the Securities Act of 1933, as amended And Deemed Filed Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934, as amended Subject Company: Hortonworks, Inc. Commission File No. 001-36780 Cloudera, Inc., a Delaware corporation (“Cloudera”), is making the following supplement to the definitive joint proxy statement/prospectus (the “Joint
December 10, 2018	425	CLDR / Cloudera, Inc. 425 (Prospectus) Filed by Cloudera, Inc. Pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Company: Hortonworks, Inc. Commission File No: 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”),
December 6, 2018	425	CLDR / Cloudera, Inc. 425 (Prospectus) Filed by Cloudera, Inc. Pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Company: Hortonworks, Inc. Commission File No: 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”),
December 5, 2018	425	HDP / Hortonworks, Inc. 425 (Prospectus) 425 Filed by Hortonworks, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Subject Company: Hortonworks, Inc. Commission File No. 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”), a Delaware corpor
December 3, 2018	425	CLDR / Cloudera, Inc. 425 (Prospectus) Filed by Cloudera, Inc. Pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Company: Hortonworks, Inc. Commission File No: 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”),
November 27, 2018	DEFM14A	HDP / Hortonworks, Inc. DEFM14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ý Defin
November 20, 2018	8-K	Financial Statements and Exhibits, Other Events FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 20, 2018 (November 19, 2018) Hortonworks, Inc.
November 20, 2018	EX-99.1	Cloudera and Hortonworks Announce Termination of Hart-Scott-Rodino Waiting Period for Proposed Merger EX-99.1 2 d427787dex991.htm EX-99.1 Exhibit 99.1 Cloudera and Hortonworks Announce Termination of Hart-Scott-Rodino Waiting Period for Proposed Merger PALO ALTO, Calif. and SANTA CLARA, Calif., Nov. 19, 2018 /PRNewswire/ — Cloudera, Inc. (NYSE: CLDR) and Hortonworks, Inc. (NASDAQ: HDP) jointly announced today that the U.S. Federal Trade Commission granted early termination of the waiting period un
November 20, 2018	425	HDP / Hortonworks, Inc. FORM 8-K (Prospectus) FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 20, 2018 (November 19, 2018) Hortonworks, Inc.
November 20, 2018	EX-99.1	Cloudera and Hortonworks Announce Termination of Hart-Scott-Rodino Waiting Period for Proposed Merger EX-99.1 Exhibit 99.1 Cloudera and Hortonworks Announce Termination of Hart-Scott-Rodino Waiting Period for Proposed Merger PALO ALTO, Calif. and SANTA CLARA, Calif., Nov. 19, 2018 /PRNewswire/ — Cloudera, Inc. (NYSE: CLDR) and Hortonworks, Inc. (NASDAQ: HDP) jointly announced today that the U.S. Federal Trade Commission granted early termination of the waiting period under the Hart-Scott-Rodino An
November 19, 2018	425	CLDR / Cloudera, Inc. 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 19, 2018 CLOUDERA, INC. (Exact name of Registrant as specified in its charter) Delaware 001-38069 26-2922329 (State or other jurisdiction of incorporation or organization) (C
November 19, 2018	EX-99.1	Cloudera and Hortonworks Announce Termination of Hart-Scott-Rodino Waiting Period for Proposed Merger Exhibit 99.1 Cloudera and Hortonworks Announce Termination of Hart-Scott-Rodino Waiting Period for Proposed Merger PALO ALTO, Calif. and SANTA CLARA, Calif., Nov. 19, 2018 /PRNewswire/— Cloudera, Inc. (NYSE: CLDR) and Hortonworks, Inc. (NASDAQ: HDP) jointly announced today that the U.S. Federal Trade Commission granted early termination of the waiting period under the Hart-Scott-Rodino Antitrust I
November 8, 2018	425	HDP / Hortonworks, Inc. 425 (Prospectus) 425 Filed by Hortonworks, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Subject Company: Hortonworks, Inc. Commission File No. 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”), a Delaware corpor
November 8, 2018	EX-99.2	Hortonworks Prepared Financial Remarks for the Third Quarter of 2018 EX-99.2 Exhibit 99.2 Hortonworks Prepared Financial Remarks for the Third Quarter of 2018 SANTA CLARA, Calif.—November 8, 2018—Hortonworks, Inc.® (NASDAQ: HDP), a leading provider of global data management solutions, today announced financial results for the third quarter of 2018. We are sharing our prepared financial remarks regarding our earnings results with the investment community on the Inve
November 8, 2018	EX-99.1	Hortonworks Reports Third Quarter 2018 Revenue of $87.2 Million Company Also Delivers $10.5 Million in Third Quarter Operating Cash Flow EX-99.1 Exhibit 99.1 Hortonworks Reports Third Quarter 2018 Revenue of $87.2 Million Company Also Delivers $10.5 Million in Third Quarter Operating Cash Flow SANTA CLARA, Calif.—November 8, 2018—Hortonworks, Inc.® (NASDAQ: HDP), a leading provider of global data management solutions, today announced financial results for the third quarter of 2018. “We are pleased with our third quarter performance
November 8, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2018 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commis
November 8, 2018	10-Q	HDP / Hortonworks, Inc. 10-Q (Quarterly Report) 10-Q 1 d608468d10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from
October 18, 2018	425	HDP / Hortonworks, Inc. 425 (Prospectus) 425 Filed by Hortonworks, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Subject Company: Hortonworks, Inc. Commission File No. 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”), a Delaware corpor
October 18, 2018	425	HDP / Hortonworks, Inc. 425 (Prospectus) 425 Filed by Hortonworks, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Subject Company: Hortonworks, Inc. Commission File No. 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”), a Delaware corpor
October 12, 2018	425	CLDR / Cloudera, Inc. 425 (Prospectus) Filed by Cloudera, Inc. Pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Company: Hortonworks, Inc. Commission File No: 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”),
October 11, 2018	425	CLDR / Cloudera, Inc. 425 (Prospectus) cldr425101118 Filed by Cloudera, Inc. Pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Company: Hortonworks, Inc. Commission File No: 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (
October 11, 2018	425	CLDR / Cloudera, Inc. 425 (Prospectus) Filed by Cloudera, Inc. Pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Company: Hortonworks, Inc. Commission File No: 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”),
October 10, 2018	425	CLDR / Cloudera, Inc. 425 (Prospectus) Filed by Cloudera, Inc. Pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Company: Hortonworks, Inc. Commission File No: 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”),
October 9, 2018	425	CLDR / Cloudera, Inc. 425 (Prospectus) Filed by Cloudera, Inc. Pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Company: Hortonworks, Inc. Commission File No: 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”),
October 9, 2018	425	CLDR / Cloudera, Inc. 425 (Prospectus) Filed by Cloudera, Inc. Pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Company: Hortonworks, Inc. Commission File No: 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”),
October 5, 2018	425	CLDR / Cloudera, Inc. 425 (Prospectus) Filed by Cloudera, Inc. Pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Company: Hortonworks, Inc. Commission File No: 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”),
October 4, 2018	425	HDP / Hortonworks, Inc. 425 (Prospectus) 425 Filed by Hortonworks, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Subject Company: Hortonworks, Inc. Commission File No. 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”), a Delaware corpor
October 4, 2018	425	CLDR / Cloudera, Inc. 425 (Prospectus) Filed by Cloudera, Inc. Pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Company: Hortonworks, Inc. Commission File No: 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”),
October 4, 2018	425	HDP / Hortonworks, Inc. 425 (Prospectus) 425 Filed by Hortonworks, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Subject Company: Hortonworks, Inc. Commission File No. 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”), a Delaware corpor
October 4, 2018	425	CLDR / Cloudera, Inc. 425 (Prospectus) Filed by Cloudera, Inc. Pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Company: Hortonworks, Inc. Commission File No: 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”),
October 3, 2018	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 3, 2018 Hortonworks, Inc.
October 3, 2018	EX-2.1	Agreement and Plan of Merger and Reorganization, dated as of October 3, 2018, by and among Hortonworks, Inc., Cloudera, Inc. and Surf Merger Corporation. EX-2.1 Table of Contents Exhibit 2.1 AGREEMENT AND PLAN OF MERGER AND REORGANIZATION by and among CLOUDERA, INC. SURF MERGER CORPORATION and HORTONWORKS, INC. October 3, 2018 Table of Contents TABLE OF CONTENTS Page ARTICLE I THE MERGER 1 1.1 The Merger 1 1.2 The Surviving Corporation of the Merger 2 1.3 General Effects of the Merger 2 1.4 Effect of the Merger on Capital Stock of the Mergi
October 3, 2018	EX-10.2	Form of Cloudera Support Agreement. EX-10.2 4 d625663dex102.htm EX-10.2 Exhibit 10.2 SUPPORT AGREEMENT THIS SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of October 3, 2018 by and between Hortonworks, Inc., a Delaware corporation (“Hortonworks”), and the undersigned stockholder (“Stockholder”) of Cloudera, Inc., a Delaware corporation (“Cloudera”). Capitalized terms that are used but not defined herein shall have
October 3, 2018	EX-10.1	Form of Hortonworks Support Agreement. EX-10.1 Exhibit 10.1 SUPPORT AGREEMENT THIS SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of October 3, 2018 by and between Cloudera, Inc., a Delaware corporation (“Cloudera”), and the undersigned stockholder (“Stockholder”) of Hortonworks, Inc., a Delaware corporation (“Hortonworks”). Capitalized terms that are used but not defined herein shall have the respective meanings ascr
October 3, 2018	425	HDP / Hortonworks, Inc. FORM 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 3, 2018 Hortonworks, Inc.
October 3, 2018	EX-10.1	Form of Hortonworks Support Agreement. EX-10.1 Exhibit 10.1 SUPPORT AGREEMENT THIS SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of October 3, 2018 by and between Cloudera, Inc., a Delaware corporation (“Cloudera”), and the undersigned stockholder (“Stockholder”) of Hortonworks, Inc., a Delaware corporation (“Hortonworks”). Capitalized terms that are used but not defined herein shall have the respective meanings ascr
October 3, 2018	EX-10.2	Form of Cloudera Support Agreement. EX-10.2 Exhibit 10.2 SUPPORT AGREEMENT THIS SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of October 3, 2018 by and between Hortonworks, Inc., a Delaware corporation (“Hortonworks”), and the undersigned stockholder (“Stockholder”) of Cloudera, Inc., a Delaware corporation (“Cloudera”). Capitalized terms that are used but not defined herein shall have the respective meanings ascr
October 3, 2018	EX-2.1	Agreement and Plan of Merger and Reorganization, dated as of October 3, 2018, by and among Hortonworks, Inc., Cloudera, Inc. and Surf Merger Corporation.* EX-2.1 Table of Contents Exhibit 2.1 AGREEMENT AND PLAN OF MERGER AND REORGANIZATION by and among CLOUDERA, INC. SURF MERGER CORPORATION and HORTONWORKS, INC. October 3, 2018 Table of Contents TABLE OF CONTENTS Page ARTICLE I THE MERGER 1 1.1 The Merger 1 1.2 The Surviving Corporation of the Merger 2 1.3 General Effects of the Merger 2 1.4 Effect of the Merger on Capital Stock of the Mergi
October 3, 2018	425	HDP / Hortonworks, Inc. 425 (Prospectus) 425 Filed by Hortonworks, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Subject Company: Hortonworks, Inc. Commission File No. 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”), a Delaware corpor
October 3, 2018	425	HDP / Hortonworks, Inc. 425 (Prospectus) 425 Filed by Hortonworks, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Subject Company: Hortonworks, Inc. Commission File No. 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”), a Delaware corpor
October 3, 2018	425	HDP / Hortonworks, Inc. 425 (Prospectus) 425 Filed by Hortonworks, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Subject Company: Hortonworks, Inc. Commission File No. 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”), a Delaware corpor
October 3, 2018	425	HDP / Hortonworks, Inc. 425 (Prospectus) 425 Filed by Hortonworks, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Subject Company: Hortonworks, Inc. Commission File No. 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”), a Delaware corpor
October 3, 2018	425	HDP / Hortonworks, Inc. 425 (Prospectus) 425 Filed by Hortonworks, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Subject Company: Hortonworks, Inc. Commission File No. 001-36780 This filing relates to the proposed merger of Hortonworks, Inc., a Delaware corporation (“Hortonworks”), with Surf Merger Corporation (“Merger Sub”), a Delaware corpor
October 3, 2018	EX-99.5	Sent from Rob Bearden Exhibit 99.5 Sent from Rob Bearden Subject Line: Cloudera and Hortonworks Announce Merger Team, I have some exciting news to share. Today we are embarking on the next chapter of our evolution by announcing that we have agreed to combine with Cloudera in a merger of equals. A copy of the press release we issued this morning is attached. We will be hosting an employee all hands meeting tomorrow, Oct
October 3, 2018	EX-10.2	Form of Hortonworks Support Agreement. Exhibit 10.2 SUPPORT AGREEMENT THIS SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of October 3, 2018 by and between Cloudera, Inc., a Delaware corporation (“Cloudera”), and the undersigned stockholder (“Stockholder”) of Hortonworks, Inc., a Delaware corporation (“Hortonworks”). Capitalized terms that are used but not defined herein shall have the respective meanings ascribed the
October 3, 2018	425	CLDR / Cloudera, Inc. 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 3, 2018 CLOUDERA, INC. (Exact name of Registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 001-38069 (Commission Fil
October 3, 2018	EX-99.3	Employee FAQ Exhibit 99.3 Employee FAQ Q: What does this announcement mean, and what are the next steps? A: We announced today that we have signed an agreement with Hortonworks, under which Cloudera and Hortonworks will join together into a single company branded as Cloudera, Inc. We anticipate that the closing of our deal will take place in the first quarter of calendar 2019. In the meantime, it’s business as
October 3, 2018	EX-99.4	Do Not Forward Outside of Cloudera Exhibit 99.4 SUBJECT: Cloudera and Hortonworks announcement Do Not Forward Outside of Cloudera Clouderans, I am very excited to share that moments ago Cloudera and Hortonworks announced that we have entered into a definitive agreement to merge the companies in a stock-for-stock transaction. This strategic combination is designed to enhance shareholder value, and to benefit our customers, partners,
October 3, 2018	EX-99.7	October 3, 2018 Exhibit 99.7 October 3, 2018 Joining Forces with Cloudera: Creating the World’s Leading Next Generation Data Platform By Rob Bearden Today we made a very exciting announcement about the future of Hortonworks – we announced that we have agreed to combine with Cloudera in a merger of equals. Together, Hortonworks and Cloudera will create the industry’s first enterprise data cloud for enabling action
October 3, 2018	EX-10.1	Form of Cloudera Support Agreement. Exhibit 10.1 SUPPORT AGREEMENT THIS SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of October 3, 2018 by and between Hortonworks, Inc., a Delaware corporation (“Hortonworks”), and the undersigned stockholder (“Stockholder”) of Cloudera, Inc., a Delaware corporation (“Cloudera”). Capitalized terms that are used but not defined herein shall have the respective meanings ascribed the
October 3, 2018	EX-99.2	CLOUDERA AND HORTONWORKS From the Edge to AI October 3, 2018 SAFE HARBOR STATEMENT Statements in this presentation that are not historical in nature are forward-looking statements that, within the meaning of the federal securities laws including the cldr8k10318ex992 CLOUDERA AND HORTONWORKS From the Edge to AI October 3, 2018 SAFE HARBOR STATEMENT Statements in this presentation that are not historical in nature are forward-looking statements that, within the meaning of the federal securities laws including the safe harbor provisions of the Private Securities Litigation Reform Act of 1995, involve known and unknown risks and uncertainties.
October 3, 2018	EX-99.6	We’ve just announced that Cloudera and Hortonworks have agreed to merge to form a single company. I want to explain the thinking behind the deal and the combination. Rob Bearden from Hortonworks has written up a post sharing his thoughts, as well. Exhibit 99.6 We’ve just announced that Cloudera and Hortonworks have agreed to merge to form a single company. I want to explain the thinking behind the deal and the combination. Rob Bearden from Hortonworks has written up a post sharing his thoughts, as well. First, remember the history of Apache Hadoop. Google built an innovative scale-out platform for data storage and analysis in the late 1990s
October 3, 2018	EX-2.1	Agreement and Plan of Merger and Reorganization, dated as of October 3, 2018, by and among Hortonworks, Inc., Cloudera, Inc. and Surf Acquisition Corporation.* Exhibit 2.1 AGREEMENT AND PLAN OF MERGER AND REORGANIZATION by and among CLOUDERA, INC. SURF MERGER CORPORATION and HORTONWORKS, INC. October 3, 2018 TABLE OF CONTENTS Page ARTICLE I THE MERGER 1 1.1 The Merger 1 1.2 The Surviving Corporation of the Merger. 2 1.3 General Effects of the Merger 2 1.4 Effect of the Merger on Capital Stock of the Merging Corporations 3 1.5 Further Action 6 1.6 Tax Reo
October 3, 2018	EX-99.1	Cloudera and Hortonworks Announce Merger to Create World’s Leading Next Generation Data Platform and Deliver Industry’s First Enterprise Data Cloud Establishes a superior unified platform and clear industry standard from the Edge to AI Strategic comb Exhibit 99.1 Cloudera and Hortonworks Announce Merger to Create World’s Leading Next Generation Data Platform and Deliver Industry’s First Enterprise Data Cloud Establishes a superior unified platform and clear industry standard from the Edge to AI Strategic combination accelerates market development, fuels innovation and produces substantial benefit for customers, partners and community PALO ALTO
August 9, 2018	10-Q	HDP / Hortonworks, Inc. 10-Q (Quarterly Report) 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 7, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2018 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commissi
August 7, 2018	EX-99.1	Hortonworks Reports Second Quarter 2018 Revenue of $86.3 Million Support Subscription Revenue Increased 42 Percent Year over Year to $65.0 Million EX-99.1 Exhibit 99.1 Hortonworks Reports Second Quarter 2018 Revenue of $86.3 Million Support Subscription Revenue Increased 42 Percent Year over Year to $65.0 Million SANTA CLARA, Calif.—August 7, 2018—Hortonworks, Inc.® (NASDAQ: HDP), a leading provider of global data management solutions, today announced financial results for the second quarter of 2018. “Our entire team executed extremely well
August 7, 2018	EX-99.2	Hortonworks Prepared Financial Remarks for the Second Quarter of 2018 Exhibit 99.2 Hortonworks Prepared Financial Remarks for the Second Quarter of 2018 SANTA CLARA, Calif.—August 7, 2018—Hortonworks, Inc.® (NASDAQ: HDP), a leading provider of global data management solutions, today announced financial results for the second quarter of 2018. We are sharing our prepared financial remarks regarding our earnings results with the investment community on the Investor Rel
July 10, 2018	SC 13G/A	HDP / Hortonworks, Inc. / VANGUARD GROUP INC Passive Investment SC 13G/A 1 hortonworksinc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1 )* Name of issuer: Hortonworks Inc Title of Class of Securities: Common Stock CUSIP Number: 440894103 Date of Event Which Requires Filing of this Statement: June 29, 2018 Check the appropriate box to designate the rule pursuant to which th
May 30, 2018	8-K	Submission of Matters to a Vote of Security Holders Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2018 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission
May 9, 2018	10-Q	HDP / Hortonworks, Inc. 10-Q (Quarterly Report) 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
May 9, 2018	EX-10.8	Amended and Restated Non-Employee Director Compensation Policy. EX-10.8 Exhibit 10.8 Amended and Restated Hortonworks, Inc. Non-Employee Director Compensation Policy Purpose The purpose of this Non -Employee Director Compensation Policy (the “Policy”) of Hortonworks, Inc., a Delaware corporation (the “Company”), is to provide a total compensation package that enables the Company to attract and retain, on a long-term basis, high-caliber directors who are not em
May 8, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2018 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission
May 8, 2018	EX-99.1	Hortonworks Reports First Quarter 2018 Revenue Record First Quarter Revenue of $79.1 Million Company Also Delivers $8.0 Million in First Quarter Operating Cash Flow EX-99.1 2 d583630dex991.htm EX-99.1 Exhibit 99.1 Hortonworks Reports First Quarter 2018 Revenue Record First Quarter Revenue of $79.1 Million Company Also Delivers $8.0 Million in First Quarter Operating Cash Flow SANTA CLARA, Calif.—May 8, 2018—Hortonworks, Inc.® (NASDAQ: HDP), a leading provider of global data management solutions, today announced financial results for the first quarter of 2018.
May 8, 2018	EX-99.2	Hortonworks Prepared Financial Remarks for the First Quarter of 2018 EX-99.2 Exhibit 99.2 Hortonworks Prepared Financial Remarks for the First Quarter of 2018 SANTA CLARA, Calif. – May 8, 2018 – Hortonworks, Inc.® (NASDAQ: HDP), a leading provider of global data management solutions, today announced financial results for the first quarter of 2018. We are sharing our prepared financial remarks regarding our earnings results with the investment community on the Inves
April 24, 2018	DEF 14A	HDP / Hortonworks, Inc. DEFINITIVE PROXY STATEMENT Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 15, 2018	10-K	HDP / Hortonworks, Inc. FORM 10-K (Annual Report) Form 10-K Table of Contents Index to Financial Statements UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 15, 2018	EX-10.4.1	Amended and Restated Employment Agreement by and between the Registrant and Robert Bearden, dated September 13, 2017. EX-10.4.1 Exhibit 10.4.1 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (“Agreement”) is made as of the 13th day of September, 2017 (the “Effective Date”), between Hortonworks, Inc., a Delaware corporation (the “Company”), and Robert Bearden (the “Executive”). WHEREAS, the Executive entered into that certain Amended and Restated Employment Agreement with t
March 15, 2018	EX-21.1	List of Subsidiaries. EX-21.1 Exhibit 21.1 HORTONWORKS, INC. SUBSIDIARIES OF THE REGISTRANT Hortonworks Asia Pacific Pte. Ltd. Singapore Hortonworks Australia Pty. Ltd. Australia Hortonworks, B.V. Netherlands Hortonworks Data Platform India Private Limited India Hortonworks Federal, Inc. Delaware, U.S.A. Hortonworks GmbH Germany Hortonworks International Ltd. Ireland Hortonworks Japan Co Ltd. Japan Hortonworks Kft. Hun
March 15, 2018	EX-10.10.2	First Amendment to Amended and Restated Credit Agreement, dated December 12, 2017, by and between Hortonworks, Inc. and Silicon Valley Bank. EX-10.10.2 Exhibit 10.10.2 FIRST AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT This First Amendment to Amended and Restated Credit Agreement (this “Amendment”) dated as of December 12, 2017, is entered into by and among HORTONWORKS, INC., a Delaware corporation (the “Borrower”), the several banks and other financial institutions or entities from time to time party to this Amendment (each a “L
February 14, 2018	SC 13G	HDP / Hortonworks, Inc. / Index Ventures IV (Jersey) LP - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* 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) Check the appropriate box to designate the rule pursuant to which this Sched
February 9, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 8-K 1 d536972d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2018 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorp
February 9, 2018	SC 13G/A	HDP / Hortonworks, Inc. / Passport Capital, LLC - FORM SC 13G/A Passive Investment Passport Capital, LLC - Schedulle 13G/A - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* HORTONWORKS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check th
February 8, 2018	EX-99.2	Hortonworks Prepared Financial Remarks for the Fourth Quarter and Full Year 2017 EX-99.2 Exhibit 99.2 Hortonworks Prepared Financial Remarks for the Fourth Quarter and Full Year 2017 SANTA CLARA, Calif. ? February 8, 2018 ? Hortonworks, Inc.? (NASDAQ: HDP), a leading provider of global data management solutions, today announced financial results for the fourth quarter and full year 2017. We are sharing our prepared financial remarks regarding our earnings results with the inve
February 8, 2018	EX-99.1	Hortonworks Reports Fourth Quarter and 2017 Annual Revenue Record 2017 Revenue of $261.8 Million and Fourth Quarter Revenue of $75.0 Million Company Also Delivers $6.4 Million in Fourth Quarter Operating Cash Flow EX-99.1 2 d511817dex991.htm EX-99.1 Exhibit 99.1 Hortonworks Reports Fourth Quarter and 2017 Annual Revenue Record 2017 Revenue of $261.8 Million and Fourth Quarter Revenue of $75.0 Million Company Also Delivers $6.4 Million in Fourth Quarter Operating Cash Flow SANTA CLARA, Calif.—February 8, 2018—Hortonworks, Inc.® (NASDAQ: HDP), a leading provider of global data management solutions, today anno
February 8, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2018 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commis
February 8, 2018	SC 13G	HDP / Hortonworks, Inc. / VANGUARD GROUP INC Passive Investment hortonworksinc.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 0 )* Name of issuer: Hortonworks Inc Title of Class of Securities: Common Stock CUSIP Number: 440894103 Date of Event Which Requires Filing of this Statement: December 31, 2017 Check the appropriate box to de
February 5, 2018	SC 13G/A	HDP / Hortonworks, Inc. / BENCHMARK CAPITAL PARTNERS VI LP - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 3)* Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Stat
January 18, 2018	S-8	HDP / Hortonworks, Inc. REGISTRATION STATEMENT ON FORM S-8 Registration Statement on Form S-8 As filed with the U.S. Securities and Exchange Commission on January 18, 2018 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Hortonworks, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 37-1634325 (State or Other Jurisdiction of Inc
November 7, 2017	10-Q	HDP / Hortonworks, Inc. FORM 10-Q (Quarterly Report) Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 7, 2017	EX-10.13.2	Second Amendment to Credit Agreement, dated September 22, 2017, by and between Hortonworks, Inc. and Silicon Valley Bank. EX-10.13.2 Exhibit 10.13.2 SECOND AMENDMENT TO CREDIT AGREEMENT This Second Amendment to Credit Agreement (this “Amendment”) dated as of September 22, 2017, is entered into by and among HORTONWORKS, INC., a Delaware corporation (the “Borrower”), the several banks and other financial institutions or entities from time to time party to this Amendment (each a “Lender” and, collectively, the “Lenders”
November 2, 2017	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2017 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commis
November 2, 2017	EX-10.1	Amended and Restated Credit Agreement, dated November 1, 2017, by and between Hortonworks, Inc. and Silicon Valley Bank. EX-10.1 Exhibit 10.1 $50,000,000 SENIOR SECURED CREDIT FACILITIES AMENDED AND RESTATED CREDIT AGREEMENT dated as of November 1, 2017 among HORTONWORKS, INC. as the Borrower, THE SEVERAL LENDERS FROM TIME TO TIME PARTY HERETO, and SILICON VALLEY BANK, as Administrative Agent, Issuing Lender and Swingline Lender Table of Contents Page SECTION 1 DEFINITIONS 1 1.1 Defined Terms 1 1.2 Other Definitiona
November 2, 2017	EX-99.1	Hortonworks Reports Third Quarter 2017 Revenue of $69.0 Million, Up 45 Percent Year Over Year Support Subscription Revenue Increased 64 Percent Year Over Year to $53.2 Million EX-99.1 Exhibit 99.1 Hortonworks Reports Third Quarter 2017 Revenue of $69.0 Million, Up 45 Percent Year Over Year Support Subscription Revenue Increased 64 Percent Year Over Year to $53.2 Million SANTA CLARA, Calif.?November 2, 2017?Hortonworks, Inc.? (NASDAQ: HDP), a leading provider of global data management solutions, today announced financial results for the third quarter of 2017. ?Our record
September 12, 2017	8-K	Hortonworks FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 10, 2017 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Comm
August 8, 2017	EX-10.13.1	FIRST AMENDMENT TO CREDIT AGREEMENT EX-10.13.1 Exhibit 10.13.1 FIRST AMENDMENT TO CREDIT AGREEMENT This First Amendment to Credit Agreement (this “Amendment”) dated as of June 26, 2017, is entered into by and among HORTONWORKS, INC., a Delaware corporation (the “Borrower”), the several banks and other financial institutions or entities from time to time party to this Amendment (each a “Lender” and, collectively, the “Lenders”), and
August 8, 2017	10-Q	HDP / Hortonworks, Inc. FORM 10-Q (Quarterly Report) Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 3, 2017	EX-99.1	Hortonworks Reports Second Quarter 2017 Revenue of $61.8 Million, Up 42 Percent Year Over Year Support Subscription Revenue Increased 48 Percent Year Over Year to $45.8 Million EX-99.1 Exhibit 99.1 Hortonworks Reports Second Quarter 2017 Revenue of $61.8 Million, Up 42 Percent Year Over Year Support Subscription Revenue Increased 48 Percent Year Over Year to $45.8 Million SANTA CLARA, Calif.?August 3, 2017?Hortonworks, Inc.? (NASDAQ: HDP), a leading innovator of open and connected data platforms, today announced financial results for the second quarter of 2017. ?The seco
August 3, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2017 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commissi
August 3, 2017	EX-99.2	Hortonworks Prepared Financial Remarks for the Second Quarter 2017 EX-99.2 Exhibit 99.2 Hortonworks Prepared Financial Remarks for the Second Quarter 2017 SANTA CLARA, Calif. ? August 3, 2017 ? Hortonworks, Inc.? (NASDAQ: HDP), a leading innovator of open and connected data platforms, today announced financial results for the second quarter of 2017. We are sharing our prepared financial remarks regarding our earnings results with the investment community on the I
August 2, 2017	EX-24	EX-24 LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of David Howard and Anne Kuykendall, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) Execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Hortonworks, Inc.
July 18, 2017	EX-99.1	Hortonworks Announces Management Transitions to Support Growth Strategy and Drive Operational Excellence Chief Financial Officer Scott Davidson to Assume Additional Responsibilities as Chief Operating Officer Veteran Sales Executive Alan Fudge Joins EX-99.1 Exhibit 99.1 Hortonworks Announces Management Transitions to Support Growth Strategy and Drive Operational Excellence Chief Financial Officer Scott Davidson to Assume Additional Responsibilities as Chief Operating Officer Veteran Sales Executive Alan Fudge Joins as Chief Revenue Officer Scott Reasoner Promoted to Chief Accounting Officer Rajnish Verma Steps Down as President and Chief Oper
July 18, 2017	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 d378248d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 13, 2017 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of inco
June 8, 2017	S-8	Hortonworks S-8 S-8 As filed with the U.S. Securities and Exchange Commission on June 8, 2017 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Hortonworks, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 37-1634325 (State or Other Jurisdiction of Incorporation or Organization) (I.R.S.
May 26, 2017	8-K	Hortonworks FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 24, 2017 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission
May 9, 2017	10-Q	Hortonworks FORM 10-Q (Quarterly Report) Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
May 4, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 d583106d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2017 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorp
May 4, 2017	EX-99.2	Hortonworks Prepared Financial Remarks for the First Quarter 2017 EX-99.2 Exhibit 99.2 Hortonworks Prepared Financial Remarks for the First Quarter 2017 SANTA CLARA, Calif.?May 4, 2017?Hortonworks, Inc.? (NASDAQ: HDP), a leading innovator of open and connected data platforms, today announced financial results for the first quarter of 2017. We are sharing our prepared financial remarks regarding our earnings results with the investment community on the Investor R
May 4, 2017	EX-99.1	Hortonworks Reports First Quarter 2017 Revenue of $56.0 Million, Up 35 Percent Year Over Year Support Subscription Revenue Increased 52 Percent Year Over Year to $42.1 Million EX-99.1 Exhibit 99.1 Hortonworks Reports First Quarter 2017 Revenue of $56.0 Million, Up 35 Percent Year Over Year Support Subscription Revenue Increased 52 Percent Year Over Year to $42.1 Million SANTA CLARA, Calif.?May 4, 2017?Hortonworks, Inc.? (NASDAQ: HDP), a leading innovator of open and connected data platforms, today announced financial results for the first quarter of 2017. ?Our momentum
April 25, 2017	DEF 14A	Hortonworks DEFINITIVE PROXY STATEMENT Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 15, 2017	10-K	Hortonworks FORM 10-K (Annual Report) Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 15, 2017	EX-10.4.3	Amended and Restated Employment Agreement by and between the Registrant and Raj Verma, dated March 13, 2017. EX-10.4.3 Exhibit 10.4.3 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (“Agreement”) is made as of the 13th day of March, 2017 (the “Effective Date”), between Hortonworks, Inc., a Delaware corporation (the “Company”), and Rajnish Verma (the “Executive”). WHEREAS, the Executive entered into that certain Employment Agreement with the Company effective as of
March 15, 2017	EX-10.4.4	Amended and Restated Form of Employment Agreement by and between the Registrant and other executive officers. EX-10.4.4 Exhibit 10.4.4 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (“Agreement”) is made as of the day of , (the “Effective Date”), between Hortonworks, Inc., a Delaware corporation (the “Company”), and [ ] (the “Executive”). WHEREAS, the Executive entered into that certain Employment Agreement with the Company dated [ ] (the “Prior Agreement”) and th
March 15, 2017	EX-10.4.2	Amended and Restated Employment Agreement by and between the Registrant and Scott Davidson, dated December 12, 2016. EX-10.4.2 Exhibit 10.4.2 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (“Agreement”) is made as of the 12th day of December, 2016 (the “Effective Date”), between Hortonworks, Inc., a Delaware corporation (the “Company”), and Scott Davidson (the “Executive”). WHEREAS, the Executive entered into that certain Employment Agreement with the Company dated Octob
March 15, 2017	EX-21.1	HORTONWORKS, INC. SUBSIDIARIES OF THE REGISTRANT Hortonworks Asia Pacific Pte. Ltd. Singapore Hortonworks Australia Pty. Ltd. Australia Hortonworks, B.V. Netherlands Hortonworks Data Platform India Private Limited India Hortonworks GmbH Germany Horto EX-21.1 Exhibit 21.1 HORTONWORKS, INC. SUBSIDIARIES OF THE REGISTRANT Hortonworks Asia Pacific Pte. Ltd. Singapore Hortonworks Australia Pty. Ltd. Australia Hortonworks, B.V. Netherlands Hortonworks Data Platform India Private Limited India Hortonworks GmbH Germany Hortonworks International Ltd. Ireland Hortonworks Japan Co Ltd. Japan Hortonworks Kft. Hungary Hortonworks Korea Ltd. Korea Hortonwor
March 15, 2017	EX-10.4.1	AMENDED AND RESTATED EMPLOYMENT AGREEMENT EX-10.4.1 Exhibit 10.4.1 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (“Agreement”) is made as of the 13th day of March, 2017 (the “Effective Date”), between Hortonworks, Inc., a Delaware corporation (the “Company”), and Robert Bearden (the “Executive”). WHEREAS, the Executive entered into that certain Employment Agreement with the Company dated October
February 14, 2017	SC 13G/A	HDP / Hortonworks, Inc. / BEARDEN ROBERT G - SC 13G AMENDMENT NO. 2 Passive Investment SC 13G/A 1 d321346dsc13ga.htm SC 13G AMENDMENT NO. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2)* Hortonworks, Inc. (Name of issuer) Common Stock (Title of class of securities) 440894103 (CUSIP numb
February 14, 2017	SC 13G/A	HDP / Hortonworks, Inc. / Passport Capital, LLC - FORM SC 13G/A Passive Investment Passport Capital, LLC.: Form SC 13G/HDP - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check th
February 14, 2017	SC 13G/A	Hortonworks SC 13G/A (Passive Acquisition of More Than 5% of Shares) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 2)* Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Stat
February 9, 2017	8-K	Hortonworks FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 9, 2017 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commis
February 9, 2017	EX-99.2	Hortonworks Prepared Financial Remarks for the Fourth Quarter and Full Year 2016 EX-99.2 Exhibit 99.2 Hortonworks Prepared Financial Remarks for the Fourth Quarter and Full Year 2016 SANTA CLARA, Calif.?February 9, 2017?Hortonworks, Inc.? (NASDAQ: HDP), a leading innovator of open and connected data platforms, today announced financial results for the fourth quarter and full year 2016. We are sharing our prepared financial remarks regarding our earnings results with the invest
February 9, 2017	EX-99.1	Hortonworks Reports Record 2016 Revenue of $184.5 Million and Fourth Quarter Revenue of $52.0 Million EX-99.1 Exhibit 99.1 Hortonworks Reports Record 2016 Revenue of $184.5 Million and Fourth Quarter Revenue of $52.0 Million SANTA CLARA, Calif.?February 9, 2017?Hortonworks, Inc.? (NASDAQ: HDP), a leading innovator of open and connected data platforms, today announced financial results for the fourth quarter and full year 2016. ?Our fourth quarter performance was highlighted by double-digit growth
February 9, 2017	SC 13G	HDP / Hortonworks, Inc. / Index Ventures IV (Jersey) LP - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. )* Hortonworks Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894-10-3 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☐ Rule 13d-1(b) ☐ Rule 13d-1
January 26, 2017	EX-24	EX-24 LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of David Howard and Anne Kuykendall, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) Execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Hortonworks, Inc.
January 12, 2017	8-K	Hortonworks 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 10, 2017 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission
January 12, 2017	EX-99.1	Hortonworks Appoints Rajnish Verma President and Chief Operating Officer Exhibit 99.1 Hortonworks Appoints Rajnish Verma President and Chief Operating Officer SANTA CLARA, Calif. January 12, 2017Hortonworks® (NASDAQ: HDP), a leading innovator of open and connected data platforms, today announced that it has appointed Raj Verma president and chief operating officer. Verma is an experienced enterprise sales veteran who brings more than 20 years of enterprise sales and
November 8, 2016	10-Q	Hortonworks FORM 10-Q (Quarterly Report) Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 3, 2016	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2016 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission File
November 3, 2016	EX-10.1	$30,000,000 SENIOR SECURED CREDIT FACILITIES CREDIT AGREEMENT dated as of November 2, 2016 HORTONWORKS, INC. as the Borrower, THE SEVERAL LENDERS FROM TIME TO TIME PARTY HERETO, SILICON VALLEY BANK, as Administrative Agent Table of Contents EX-10.1 Exhibit 10.1 $30,000,000 SENIOR SECURED CREDIT FACILITIES CREDIT AGREEMENT dated as of November 2, 2016 among HORTONWORKS, INC. as the Borrower, THE SEVERAL LENDERS FROM TIME TO TIME PARTY HERETO, and SILICON VALLEY BANK, as Administrative Agent Table of Contents Page SECTION 1 DEFINITIONS 1 1.1 Defined Terms 1 1.2 Other Definitional Provisions 23 1.3 Rounding 24 SECTION 2 AMOUNT AND TERMS
November 3, 2016	EX-99.1	Hortonworks Reports Financial Results for Third Quarter 2016 EX-99.1 Exhibit 99.1 Hortonworks Reports Financial Results for Third Quarter 2016 SANTA CLARA, Calif.?November 3, 2016?Hortonworks, Inc.? (NASDAQ: HDP), a leading innovator of open and connected data platforms, today announced financial results for the third quarter of 2016. ?Q3 was a milestone quarter for Hortonworks. We crossed the 1,000 customer count and our operating billings grew 66% year-ov
November 3, 2016	EX-99.2	Hortonworks Prepared Financial Remarks for the Third Quarter of 2016 EX-99.2 Exhibit 99.2 Hortonworks Prepared Financial Remarks for the Third Quarter of 2016 SANTA CLARA, Calif.?November 3, 2016?Hortonworks, Inc.? (NASDAQ: HDP), a leading innovator of open and connected data platforms, today announced financial results for the third quarter of 2016. Consistent with the practice that we adopted for our second quarter 2016 earnings call, we are sharing our prepared
November 3, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2016 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission File
August 9, 2016	EX-10.1	Amended and Restated 2014 Stock Option and Incentive Plan and forms of agreements thereunder. EX-10.1 Exhibit 10.1 AMENDED AND RESTATED HORTONWORKS, INC. 2014 STOCK OPTION AND INCENTIVE PLAN SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Amended and Restated Hortonworks, Inc. 2014 Stock Option and Incentive Plan (the ?Plan?). The purpose of the Plan is to encourage and enable the officers, employees, Non-Employee Directors and Consultants of Hortonworks, In
August 9, 2016	10-Q	Hortonworks FORM 10-Q (Quarterly Report) Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 4, 2016	8-K	Hortonworks FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2016 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commissi
August 4, 2016	EX-99.1	Hortonworks Reports Financial Results for Second Quarter 2016 EX-99.1 Exhibit 99.1 Hortonworks Reports Financial Results for Second Quarter 2016 SANTA CLARA, Calif.?August 4, 2016?Hortonworks, Inc.? (NASDAQ: HDP), a leading innovator of open and connected data platforms, today announced financial results for the second quarter 2016. ?Our second quarter performance was highlighted by strong support subscription revenue growth and a material improvement in ope
August 4, 2016	EX-99.2	Hortonworks Prepared Financial Remarks for Second Quarter 2016 EX-99.2 Exhibit 99.2 Hortonworks Prepared Financial Remarks for Second Quarter 2016 SANTA CLARA, Calif.?August 4, 2016?Hortonworks, Inc.? (NASDAQ: HDP), a leading innovator of open and connected data platforms, today announced financial results for the second quarter 2016. As disclosed on the first quarter 2016 earnings call, we now share our prepared financial remarks for earnings results with th
May 27, 2016	EX-4.2	AMENDED AND RESTATED HORTONWORKS, INC. 2014 STOCK OPTION AND INCENTIVE PLAN EX-4.2 Exhibit 4.2 AMENDED AND RESTATED HORTONWORKS, INC. 2014 STOCK OPTION AND INCENTIVE PLAN SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Amended and Restated Hortonworks, Inc. 2014 Stock Option and Incentive Plan (the ?Plan?). The purpose of the Plan is to encourage and enable the officers, employees, Non-Employee Directors and Consultants of Hortonworks, Inc.
May 27, 2016	S-8	Hortonworks S-8 S-8 As filed with the U.S. Securities and Exchange Commission on May 27, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Hortonworks, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 37-1634325 (State or Other Jurisdiction of Incorporation or Organization) (I.R.S.
May 27, 2016	8-K	Hortonworks FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2016 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission
May 11, 2016	SC 13G/A	HDP / Hortonworks, Inc. / Passport Capital, LLC - SCHEDULE 13G Passive Investment Passport Capital, LLC. : Form SC 13G/A- Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) February 29, 2016** (Date of Event which Requires Filing of this Statement) Check th
May 9, 2016	10-Q	Hortonworks FORM 10-Q (Quarterly Report) Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
May 4, 2016	EX-99.1	Hortonworks Reports Financial Results for First Quarter 2016 EX-99.1 Exhibit 99.1 Hortonworks Reports Financial Results for First Quarter 2016 SANTA CLARA, Calif.?May 4, 2016?Hortonworks, Inc.? (NASDAQ: HDP), a leading innovator of open and connected data platforms, today announced financial results for the first quarter 2016. ?We are pleased with our first quarter performance that was highlighted by an acceleration of support subscription billings, which g
May 4, 2016	8-K	Hortonworks FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2016 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission
April 26, 2016	DEF 14A	Hortonworks DEFINITIVE PROXY STATEMENT Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 15, 2016	10-K	Hortonworks FORM 10-K (Annual Report) Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 15, 2016	EX-21.1	HORTONWORKS, INC. SUBSIDIARIES OF THE REGISTRANT Agniv, Inc. California, U.S.A. Hortonworks, B.V. The Netherlands Hortonworks Australia Pty. Ltd. Australia Hortonworks Data Platform India Pvt. Ltd. India Hortonworks GmbH Germany Hortonworks Internati EX-21.1 Exhibit 21.1 HORTONWORKS, INC. SUBSIDIARIES OF THE REGISTRANT Agniv, Inc. California, U.S.A. Hortonworks, B.V. The Netherlands Hortonworks Australia Pty. Ltd. Australia Hortonworks Data Platform India Pvt. Ltd. India Hortonworks GmbH Germany Hortonworks International Ltd. Ireland Hortonworks Japan Co Ltd. Japan Hortonworks Korea Ltd. Korea Hortonworks UK Ltd. United Kingdom Onyara, Inc. De
March 15, 2016	EX-10.7	Amendment #3 to the Commercial Agreement EX-10.7 Exhibit 10.7 CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR PORTIONS OF THIS DOCUMENT. [**] INDICATES INFORMATION THAT HAS BEEN OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT HAS BEEN REQUESTED. ALL SUCH OMITTED INFORMATION HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 24b-2 PROMULGATED UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED. Amendment #
March 10, 2016	SC 13G/A	HDP / Hortonworks, Inc. / Passport Capital, LLC - FORM SC 13G/A Passive Investment Passport Capital, LLC :Form SC 13G/A - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) February 29, 2016 (Date of Event which Requires Filing of this Statement) Check the a
February 16, 2016	SC 13G/A	HDP / Hortonworks, Inc. / BENCHMARK CAPITAL PARTNERS VI LP - FORM SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 1)* Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Stat
February 16, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2016 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission Fil
February 16, 2016	SC 13G/A	Hortonworks SCHEDULE 13G/A (Passive Acquisition of More Than 5% of Shares) Passport Capital, LLC: Form SC 13G/A - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the a
February 11, 2016	SC 13G	HDP / Hortonworks, Inc. / Index Ventures IV (Jersey) LP - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. )* Hortonworks Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894-10-3 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☐ Rule 13d-1(b) ☐ Rule 13d-1
February 10, 2016	8-K	Hortonworks FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2016 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commi
February 10, 2016	EX-99.1	Hortonworks Reports Financial Results for Fourth Quarter and Full Year 2015 EX-99.1 Exhibit 99.1 Hortonworks Reports Financial Results for Fourth Quarter and Full Year 2015 SANTA CLARA, Calif.?February 10, 2016?Hortonworks, Inc.? (NASDAQ: HDP) today announced financial results for the fourth quarter and full year 2015. ?We are pleased with our fourth quarter performance, which was highlighted by support subscription revenue growth of 146% year-over-year,? said Rob Bearden
February 5, 2016	POS EX	Hortonworks POS EX POS EX As filed with the Securities and Exchange Commission on February 5, 2016. Registration No. 333- 209015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Hortonworks, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 7372 37-1634325 (State or Other Juris
February 3, 2016	SC 13G/A	Hortonworks SC 13G/A (Passive Acquisition of More Than 5% of Shares) SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)* Hortonworks, Inc. (Name of issuer) Common Stock (Title of class of securities) 440894103 (CUSIP number) December 31, 2015 (Date of event which r
February 2, 2016	424B4	8,425,000 Shares Hortonworks, Inc. Common Stock Filed pursuant to Rule 424(b)(4) Table of Contents Filed Pursuant to Rule 424(b)(4) Registration No.
February 2, 2016	SC 13G/A	Hortonworks SC 13G/A (Passive Acquisition of More Than 5% of Shares) SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 1)* Under the Securities Exchange Act of 1934 Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t
February 1, 2016	S-3/A	Hortonworks S-3/A S-3/A Table of Contents As filed with the Securities and Exchange Commission on February 1, 2016.
February 1, 2016	EX-1.1	Hortonworks, Inc. Common Stock, par value $0.0001 per share Underwriting Agreement EX-1.1 Exhibit 1.1 Hortonworks, Inc. Common Stock, par value $0.0001 per share Underwriting Agreement , 2016 Goldman, Sachs & Co., Credit Suisse Securities (USA) LLC, RBC Capital Markets, LLC, As representatives of the several Underwriters named in Schedule I hereto, c/o Goldman, Sachs & Co., 200 West Street, New York, New York 10282-2198. Ladies and Gentlemen: Hortonworks, Inc., a Delaware corpor
January 15, 2016	8-K	Hortonworks FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 15, 2016 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commis
January 15, 2016	S-3	Hortonworks S-3 S-3 Table of Contents As filed with the Securities and Exchange Commission on January 15, 2016.
January 6, 2016	8-K	Entry into a Material Definitive Agreement 8-K 1 d108203d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 29, 2015 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incor
November 4, 2015	8-K	Hortonworks FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2015 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commis
November 4, 2015	EX-99.1	Hortonworks Reports Financial Results for Third Quarter 2015 EX-99.1 Exhibit 99.1 Hortonworks Reports Financial Results for Third Quarter 2015 SANTA CLARA, Calif.?November 4, 2015?Hortonworks, Inc.? (NASDAQ: HDP), the leader in Open Enterprise Hadoop, today announced financial results for the third quarter 2015. ?We are pleased with our third quarter performance which was highlighted by support subscription revenue growth of 168% year-over-year and solid cu
August 27, 2015	8-K	Hortonworks FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 22, 2015 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commiss
August 27, 2015	EX-99.1	Hortonworks to Acquire Onyara to Turn Internet of Anything Data Into Actionable Insights New Hortonworks DataFlow powered by Apache NiFi will securely and easily collect, conduct and curate any data, from anything, anywhere Exhibit 99.1 Exhibit 99.1 Hortonworks to Acquire Onyara to Turn Internet of Anything Data Into Actionable Insights New Hortonworks DataFlow powered by Apache NiFi will securely and easily collect, conduct and curate any data, from anything, anywhere SANTA CLARA, Calif., ? Aug. 25, 2015?Hortonworks, Inc. (NASDAQ: HDP), the leader in Open Enterprise Hadoop, today announced it has signed a definitive
August 5, 2015	EX-99.1	Hortonworks Reports Financial Results for Second Quarter 2015 EX-99.1 Exhibit 99.1 Hortonworks Reports Financial Results for Second Quarter 2015 SANTA CLARA, Calif.?August 5, 2015?Hortonworks, Inc.? (NASDAQ: HDP), the leader in Open Enterprise Hadoop, today announced financial results for the second quarter 2015. ?We are very pleased with our second quarter performance which was highlighted by support subscription revenue growth of 178% year-over-year and so
August 5, 2015	8-K	Hortonworks FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2015 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commissi
June 19, 2015	8-K	Hortonworks 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2015 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission Fil
June 19, 2015	EX-10.2	Form of Letter Agreement re Post-Termination Option Exercise Period. EX-10.2 Exhibit 10.2 [ ], 2015 [Name] [Address] Re: Post-Termination Exercise Period Dear [Name]: Hortonworks, Inc. (the ?Company?) is pleased to offer you the following amendment concerning the terms of your equity with the Company. This offer, if not accepted, will expire at the close of business on [ ], 2015. 1. Option Grant. You and the Company entered into stock option agreements whereby the
May 18, 2015	8-K	Submission of Matters to a Vote of Security Holders Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2015 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission
May 14, 2015	S-8	Hortonworks FORM S-8 Form S-8 As filed with the U.S. Securities and Exchange Commission on May 14, 2015 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Hortonworks, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 37-1634325 (State or Other Jurisdiction of Incorporation or Organization) (I
May 12, 2015	EX-99.1	Hortonworks Reports Financial Results for First Quarter 2015 EX-99.1 Exhibit 99.1 Hortonworks Reports Financial Results for First Quarter 2015 SANTA CLARA, Calif.?May 12, 2015?Hortonworks, Inc.? (NASDAQ: HDP), the leading contributor to and provider of enterprise Apache? Hadoop? via the Hortonworks Data Platform (HDP?), today announced financial results for the first quarter 2015. ?We are pleased with our first quarter performance which was highlighted by s
May 12, 2015	8-K	Hortonworks FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2015 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commission
April 22, 2015	DEF 14A	Hortonworks DEFINITIVE PROXY STATEMENT Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
February 24, 2015	EX-99.1	Hortonworks Reports Financial Results for Fourth Quarter and Fiscal Year 2014 EX-99.1 Exhibit 99.1 Hortonworks Reports Financial Results for Fourth Quarter and Fiscal Year 2014 SANTA CLARA, Calif.—February 24, 2015—Hortonworks® (NASDAQ: HDP), the leading contributor to and provider of enterprise Apache™ Hadoop®, today announced financial results for the fourth quarter and fiscal year 2014. “We are very pleased with our strong fourth quarter performance highlighted by billin
February 24, 2015	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2015 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36780 37-1634325 (State or other jurisdiction of incorporation) (Commi
February 17, 2015	SC 13G	HDP / Hortonworks, Inc. / BEARDEN ROBERT G - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )* Hortonworks, Inc. (Name of issuer) Common Stock (Title of class of securities) 440894103 (CUSIP number) 12/31/2014 (Date of event which requires fi
February 17, 2015	SC 13G	HDP / Hortonworks, Inc. / BENCHMARK CAPITAL PARTNERS VI LP - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. )* Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this State
February 17, 2015	SC 13G	HDP / Hortonworks, Inc. / Passport Capital, LLC - FORM SC 13G Passive Investment Passport Capital, LLC: Form SC 13G - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appr
February 13, 2015	SC 13G	HDP / Hortonworks, Inc. / Index Venture Associates IV Ltd - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. )* Hortonworks Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894-10-3 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 1
February 9, 2015	SC 13G	HDP / Hortonworks, Inc. / TERADATA CORP /DE/ - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894103 (CUSIP Number) December 11, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this
December 19, 2014	SC 13G	HDP / Hortonworks, Inc. / YAHOO INC - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. )* Under the Securities Exchange Act of 1934 Hortonworks, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 440894-10-3 (CUSIP Number) December 17, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which th
December 16, 2014	EX-24	EX-24 LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints David Howard, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Hortonworks, Inc.
December 16, 2014	EX-99	EX-99 AGREEMENT TO FILE JOINTLY AND STATEMENT APPOINTING DESIGNATED FILER AND AUTHORIZED SIGNATORY Each of the undersigned entities and individuals (collectively, the "Reporting Persons") hereby authorizes and designates Benchmark Capital Management Co.
December 16, 2014	EX-99.2	EX-99.2 AGREEMENT TO FILE JOINTLY AND STATEMENT APPOINTING DESIGNATED FILER AND AUTHORIZED SIGNATORY Each of the undersigned entities and individuals (collectively, the "Reporting Persons") hereby authorizes and designates Benchmark Capital Management Co.
December 16, 2014	EX-24	EX-24 LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints David Howard, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Hortonworks, Inc.
December 16, 2014	EX-99.1	EX-99.1 AGREEMENT TO FILE JOINTLY AND STATEMENT APPOINTING DESIGNATED FILER AND AUTHORIZED SIGNATORY Each of the undersigned entities and individuals (collectively, the "Reporting Persons") hereby authorizes and designates Benchmark Capital Management Co.
December 16, 2014	EX-24	EX-24 LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints David Howard, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Hortonworks, Inc.
December 16, 2014	EX-24	EX-24 LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints David Howard, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Hortonworks, Inc.
December 16, 2014	EX-24	EX-24 LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints David Howard, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Hortonworks, Inc.
December 16, 2014	EX-99	EX-99 AGREEMENT TO FILE JOINTLY AND STATEMENT APPOINTING DESIGNATED FILER AND AUTHORIZED SIGNATORY Each of the undersigned entities and individuals (collectively, the "Reporting Persons") hereby authorizes and designates Benchmark Capital Management Co.
December 16, 2014	EX-99.2	EX-99.2 AGREEMENT TO FILE JOINTLY AND STATEMENT APPOINTING DESIGNATED FILER AND AUTHORIZED SIGNATORY Each of the undersigned entities and individuals (collectively, the "Reporting Persons") hereby authorizes and designates Benchmark Capital Management Co.
December 16, 2014	EX-99.1	EX-99.1 AGREEMENT TO FILE JOINTLY AND STATEMENT APPOINTING DESIGNATED FILER AND AUTHORIZED SIGNATORY Each of the undersigned entities and individuals (collectively, the "Reporting Persons") hereby authorizes and designates Benchmark Capital Management Co.
December 16, 2014	EX-24	EX-24 LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints David Howard, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Hortonworks, Inc.
December 16, 2014	EX-24	EX-24 LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints David Howard, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Hortonworks, Inc.
December 16, 2014	EX-24	EX-24 LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints David Howard, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Hortonworks, Inc.
December 16, 2014	EX-24	EX-24 LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints David Howard, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Hortonworks, Inc.
December 16, 2014	EX-24	EX-24 LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints David Howard, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Hortonworks, Inc.
December 12, 2014	424B4	6,250,000 Shares Hortonworks, Inc. Common Stock Prospectus Filed Pursuant to Rule 424(b)(4) Table of Contents Index to Financial Statements Filed Pursuant to Rule 424(b)(4) Registration No.
December 12, 2014	S-8	HDP / Hortonworks, Inc. S-8 - - FORM S-8 Form S-8 As filed with the U.S. Securities and Exchange Commission on December 12, 2014 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Hortonworks, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 37-1634325 (State or Other Jurisdiction of Incorporation or Organizatio
December 11, 2014	S-1MEF	HDP / Hortonworks, Inc. S-1MEF - - FORM S-1MEF Form S-1MEF As filed with the Securities and Exchange Commission on December 11, 2014 Registration No.
December 9, 2014	8-A12B	HDP / Hortonworks, Inc. 8-A12B - - 8-A12B Prepared by R.R. Donnelley Financial - 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Hortonworks, Inc. (Exact name of registrant as specified in its charter) Delaware 37-1634325 (State of incorporation or organization) (I.R.S. Employer
December 9, 2014	CORRESP	HDP / Hortonworks, Inc. CORRESP - - Prepared by R.R. Donnelley Financial - Company Acceleration Request Hortonworks, Inc. 5470 Great American Parkway Santa Clara, California 95054 VIA EDGAR December 9, 2014 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, DC 20549 Attention: Barbara C. Jacobs, Assistant Director Re: Hortonworks, Inc. Acceleration Request for Registration S
December 9, 2014	CORRESP	HDP / Hortonworks, Inc. CORRESP - - Prepared by R.R. Donnelley Financial - Underwriters' Acceleration Request December 9, 2014 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Hortonworks, Inc. Filed on Form S-1 Registration No. 333-200044 Ladies and Gentlemen: In connection with the above-captioned Registration Statement, we wish to advise that between December 1, 2014 and the date hereof approximate
December 1, 2014	EX-1.1	Hortonworks, Inc. Common Stock, par value $0.0001 per share Underwriting Agreement Prepared by R.R. Donnelley Financial - EX-1.1 Exhibit 1.1 Hortonworks, Inc. Common Stock, par value $0.0001 per share Underwriting Agreement , 2014 Goldman, Sachs & Co., Credit Suisse Securities (USA) LLC As representatives of the several Underwriters named in Schedule I hereto, c/o Goldman, Sachs & Co. 200 West Street, New York, New York 10282-2198 Ladies and Gentlemen: Hortonworks, Inc., a Delaw
December 1, 2014	EX-10.10	HORTONWORKS, INC. 2014 EMPLOYEE STOCK PURCHASE PLAN Prepared by R.R. Donnelley Financial - EX-10.10 Exhibit 10.10 HORTONWORKS, INC. 2014 EMPLOYEE STOCK PURCHASE PLAN The purpose of the Hortonworks, Inc. 2014 Employee Stock Purchase Plan (“the Plan”) is to provide eligible employees of Hortonworks, Inc. (the “Company”) and each Designated Subsidiary (as defined in Section 11) with opportunities to purchase shares of the Company’s common stock, par v
December 1, 2014	EX-10.14	HORTONWORKS, INC. COMMON STOCK PURCHASE AGREEMENT Prepared by R.R. Donnelley Financial - EX-10.14 Exhibit 10.14 HORTONWORKS, INC. COMMON STOCK PURCHASE AGREEMENT THIS COMMON STOCK PURCHASE AGREEMENT (the “Agreement”) is made as of December 1, 2014, by and between Hortonworks, Inc., a Delaware corporation (the “Company”) and Passport Capital, LLC (“Passport”). THE PARTIES HEREBY AGREE AS FOLLOWS: 1. Purchase and Sale of Stock. 1.1 Sale and Issuanc
December 1, 2014	EX-4.2	Amended and Restated Investors Rights Agreement by and among the Registrant and certain of its stockholders, dated July 23, 2014. Prepared by R.R. Donnelley Financial - EX-4.2 Exhibit 4.2 HORTONWORKS, INC. AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENT July 23, 2014 TABLE OF CONTENTS Page 1. Registration Rights 1 1.1 Definitions 1 1.2 Request for Registration 3 1.3 Company Registration 5 1.4 Form S-3 Registration 6 1.5 Obligations of the Company 8 1.6 Information from Holder 10 1.7 Expenses of Registration 10 1.8 Delay of
December 1, 2014	EX-4.1	Form of common stock certificate of the Registrant. Prepared by R.R. Donnelley Financial - EX-4.1 Exhibit 4.1 THIS CERTIFIES THAT is the owner of CUSIP DATED COUNTERSIGNED AND REGISTERED: COMPUTERSHARE TRUST COMPANY, N.A. TRANSFER AGENT AND REGISTRAR, FULLY-PAID AND NON-ASSESSABLE SHARES OF COMMON STOCK OF Hortonworks, Inc. (hereinafter called the “Company”), transferable on the books of the Company in person or by duly authorized attorney, upon su
December 1, 2014	EX-10.3	HORTONWORKS, INC. 2014 STOCK OPTION AND INCENTIVE PLAN Prepared by R.R. Donnelley Financial - EX-10.3 Exhibit 10.3 HORTONWORKS, INC. 2014 STOCK OPTION AND INCENTIVE PLAN SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Hortonworks, Inc. 2014 Stock Option and Incentive Plan (the “Plan”). The purpose of the Plan is to encourage and enable the officers, employees, Non-Employee Directors and Consultants of Hortonworks, Inc.
December 1, 2014	S-1/A	HDP / Hortonworks, Inc. S-1/A - - AMENDMENT NO. 1 TO FORM S-1 Prepared by R.R. Donnelley Financial - Amendment No. 1 to Form S-1 Table of Contents Index to Financial Statements As filed with the Securities and Exchange Commission on December 1, 2014. Registration No. 333-200044 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Hortonworks, Inc. (Exact na
November 24, 2014	CORRESP	HDP / Hortonworks, Inc. CORRESP - - Prepared by R.R. Donnelley Financial - Confidential Treatment Request Goodwin Procter LLP Counselors at Law 135 Commonwealth Drive Menlo Park, CA 94025-1105 T: 650.752.3100 F: 650.853.1038 CONFIDENTIAL TREATMENT REQUESTED BY HORTONWORKS, INC.: HORTONWORKS-001 CERTAIN PORTIONS OF THIS LETTER AS FILED VIA EDGAR HAVE BEEN OMITTED AND FILED SEPARATELY WITH THE COMMISSION. CONFIDENTIAL TREATMENT HAS BE
November 10, 2014	EX-10.8	RESTRICTED STOCK PURCHASE AGREEMENT Prepared by R.R. Donnelley Financial - EX-10.8 Exhibit 10.8 RESTRICTED STOCK PURCHASE AGREEMENT THIS RESTRICTED STOCK PURCHASE AGREEMENT is entered into as of June 30, 2011, by HortonWorks, Inc., a Delaware corporation (the “Company”), and Rob Bearden (the “Purchaser”). SECTION 1. ACQUISITION OF SHARES. (a) Issue. On the terms and conditions set forth in this Agreement, the Company agrees to issue
November 10, 2014	EX-3.2	Amended and Restated Certificate of Incorporation of the Registrant. Prepared by R.R. Donnelley Financial - EX-3.2 Exhibit 3.2 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF HORTONWORKS, INC. Hortonworks, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), hereby certifies as follows: 1. The name of the Corporation is Hortonworks, Inc. The date of the filing of its original Certificate of Incorporation with
November 10, 2014	EX-10.9	RESTRICTED STOCK PURCHASE AGREEMENT Prepared by R.R. Donnelley Financial - EX-10.9 Exhibit 10.9 RESTRICTED STOCK PURCHASE AGREEMENT THIS RESTRICTED STOCK PURCHASE AGREEMENT is entered into as of December 27, 2011, by HortonWorks, Inc., a Delaware corporation (the “Company”), and Shaun Connolly (the “Purchaser”). 1. ACQUISITION OF SHARES. (a) Issue. On the terms and conditions set forth in this Agreement, the Company agrees to issue
November 10, 2014	EX-10.4.2	EMPLOYMENT AGREEMENT EX-10.4.2 14 d748349dex1042.htm EX-10.4.2 Exhibit 10.4.2 EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”) is made as of the 30th day of October, 2014 (the “Effective Date”), between Hortonworks, Inc., a Delaware corporation (the “Company”), and Scott Davidson (the “Executive”). WHEREAS, the Executive is party to an offer letter agreement with the Company dated April 2, 2014 (the “Offer
November 10, 2014	EX-10.11	Senior Executive Cash Incentive Bonus Plan. Prepared by R.R. Donnelley Financial - EX-10.11 Exhibit 10.11 HORTONWORKS, INC. SENIOR EXECUTIVE CASH INCENTIVE BONUS PLAN 1. Purpose This Senior Executive Cash Incentive Bonus Plan (the “Incentive Plan”) is intended to provide an incentive for superior work and to motivate eligible executives of Hortonworks, Inc. (the “Company”) and its subsidiaries toward even higher achievement and business res
November 10, 2014	EX-10.5	TABLE OF CONTENTS Page 1. PARTIES: 1 2. PREMISES: 1 3. USE: 3 A. Permitted Uses: 3 B. Uses Prohibited: 3 C. Advertisements and Signs: 3 D. Covenants, Conditions and Restrictions: 4 E. Sustainability Requirements: 4 4. TERM AND RENTAL: 4 A. Term; Base Prepared by R.R. Donnelley Financial - EX-10.5 Exhibit 10.5 TABLE OF CONTENTS Page 1. PARTIES: 1 2. PREMISES: 1 3. USE: 3 A. Permitted Uses: 3 B. Uses Prohibited: 3 C. Advertisements and Signs: 3 D. Covenants, Conditions and Restrictions: 4 E. Sustainability Requirements: 4 4. TERM AND RENTAL: 4 A. Term; Base Monthly Rent 4 B. Late Charge: 5 5. SECURITY DEPOSIT: 6 A. Amount and Purpose: 6 B. Requi
November 10, 2014	EX-4.5	ALLOCATION AGREEMENT Prepared by R.R. Donnelley Financial - EX-4.5 Exhibit 4.5 ALLOCATION AGREEMENT This ALLOCATION AGREEMENT (the “Agreement”) is made and entered into as of March 24, 2014, by and among Hortonworks, Inc., a Delaware corporation (the “Company”) and Passport Capital, LLC (the “Investor”). All capitalized terms not otherwise defined shall have the respective meanings ascribed thereto in Section 4. WHERE
November 10, 2014	EX-4.4	Warrant to Purchase Shares of Common Stock issued to Altaba Inc. (formerly known as Yahoo! Inc.) by the Registrant, dated June 9, 2014. Prepared by R.R. Donnelley Financial - EX-4.4 Exhibit 4.4 THIS WARRANT AND THE SECURITIES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR AN OPINION OF
November 10, 2014	EX-4.2	HORTONWORKS, INC. AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENT July 23, 2014 TABLE OF CONTENTS Page 1. Registration Rights 1 1.1 Definitions 1 1.2 Request for Registration 3 1.3 Company Registration 5 1.4 Form S-3 Registration 6 1.5 Obligations o Prepared by R.R. Donnelley Financial - EX-4.2 Exhibit 4.2 HORTONWORKS, INC. AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENT July 23, 2014 TABLE OF CONTENTS Page 1. Registration Rights 1 1.1 Definitions 1 1.2 Request for Registration 3 1.3 Company Registration 5 1.4 Form S-3 Registration 6 1.5 Obligations of the Company 8 1.6 Information from Holder 10 1.7 Expenses of Registration 10 1.8 Delay of
November 10, 2014	EX-3.4	Amended and Restated Bylaws of the Registrant. Prepared by R.R. Donnelley Financial - EX-3.4 Exhibit 3.4 AMENDED AND RESTATED BY-LAWS OF HORTONWORKS, INC. (the “Corporation”) ARTICLE I Stockholders SECTION 1. Annual Meeting. The annual meeting of stockholders of the Corporation (any such meeting being referred to in these By-laws as an “Annual Meeting”) shall be held at the hour, date and place within or without the United States which is fixe
November 10, 2014	EX-10.7	COMMERCIAL AGREEMENT Prepared by R.R. Donnelley Financial - EX-10.7 Exhibit 10.7 CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR PORTIONS OF THIS DOCUMENT. [**] - INDICATES INFORMATION THAT HAS BEEN OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT HAS BEEN REQUESTED. ALL SUCH OMITTED INFORMATION HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF
November 10, 2014	EX-10.6	Stadium Techcenter Lease between The Landing SC, LLC, as Landlord, and the Registrant, as Tenant, dated May 19, 2014. EX-10.6 17 d748349dex106.htm EX-10.6 Exhibit 10.6 STADIUM TECHCENTER LEASE BETWEEN THE LANDING SC, LLC, AS LANDLORD, AND HORTONWORKS, INC., AS TENANT TABLE OF CONTENTS Page ARTICLE 1. BASIC PROVISIONS 1 ARTICLE 2. PREMISES; TERM 3 ARTICLE 3. RENT 4 ARTICLE 4. TAXES AND OPERATING EXPENSES 5 ARTICLE 5. CONDITION OF PREMISES ON COMMENCEMENT DATE; ALTERATIONS AND ADDITIONS 8 ARTICLE 6. USE 13 ARTICLE
November 10, 2014	CORRESP	HDP / Hortonworks, Inc. CORRESP - - Prepared by R.R. Donnelley Financial - Comment Response Letter Goodwin Procter LLP Counselors at Law 135 Commonwealth Drive Menlo Park, CA 94025 T: 650.752.3100 F: 650.853.1038 November 10, 2014 Barbara C. Jacobs Assistant Director Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Re: Hortonworks, Inc. Amendment No. 3 to Confidential Draft R
November 10, 2014	EX-10.12	Non-Employee Director Compensation Policy. Prepared by R.R. Donnelley Financial - EX-10.12 Exhibit 10.12 Hortonworks, Inc. Non-Employee Director Compensation Policy The purpose of this Non-Employee Director Compensation Policy (the “Policy”) of Hortonworks, Inc., a Delaware corporation (the “Company”), is to provide a total compensation package that enables the Company to attract and retain, on a long-term basis, high-caliber directors who
November 10, 2014	EX-10.10	HORTONWORKS, INC. 2014 EMPLOYEE STOCK PURCHASE PLAN Prepared by R.R. Donnelley Financial - EX-10.10 Exhibit 10.10 HORTONWORKS, INC. 2014 EMPLOYEE STOCK PURCHASE PLAN The purpose of the Hortonworks, Inc. 2014 Employee Stock Purchase Plan (“the Plan”) is to provide eligible employees of Hortonworks, Inc. (the “Company”) and each Designated Subsidiary (as defined in Section 11) with opportunities to purchase shares of the Company’s common stock, par v
November 10, 2014	EX-4.3	Warrant to Purchase Shares of Series A Preferred Stock issued to Altaba Inc. (formerly known as Yahoo! Inc.) by the Registrant, dated July 1, 2011. Prepared by R.R. Donnelley Financial - EX-4.3 Exhibit 4.3 THIS WARRANT AND THE SECURITIES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR AN OPINION OF
November 10, 2014	EX-10.2	2011 Stock Option and Grant Plan and forms of agreements thereunder. Prepared by R.R. Donnelley Financial - EX-10.2 Exhibit 10.2 HORTONWORKS, INC. 2011 STOCK OPTION AND GRANT PLAN (As amended on March 24, 2014) SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Hortonworks, Inc. 2011 Stock Option and Grant Plan (the “Plan”). The purpose of the Plan is to encourage and enable the officers, employees, directors, Consultants and other key
November 10, 2014	EX-10.4.3	EMPLOYMENT AGREEMENT Prepared by R.R. Donnelley Financial - EX-10.4.3 Exhibit 10.4.3 EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”) is made as of the day of October, 2014 (the “Effective Date”), between Hortonworks, Inc., a Delaware corporation (the “Company”), and [Executive] (the “Executive”). WHEREAS, the Executive is party to an offer letter agreement with the Company dated [ ] (the “Offer Letter”) a
November 10, 2014	EX-3.1	AMENDED AND RESTATED CERTIFICATE OF INCORPORATION HORTONWORKS, INC. (Pursuant to Sections 242 and 245 of the General Corporation Law of the State of Delaware) Prepared by R.R. Donnelley Financial - EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF HORTONWORKS, INC. (Pursuant to Sections 242 and 245 of the General Corporation Law of the State of Delaware) HORTONWORKS, INC., a corporation organized and existing under and by virtue of the provisions of the General Corporation Law of the State of Delaware (the “General Corporation Law”
November 10, 2014	S-1	HDP / Hortonworks, Inc. S-1 - Registration Statement - FORM S-1 Prepared by R.R. Donnelley Financial - Form S-1 Table of Contents Index to Financial Statements As filed with the Securities and Exchange Commission on November 10, 2014. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Hortonworks, Inc. (Exact name of Registrant as specified in its charte
November 10, 2014	EX-10.4.1	EMPLOYMENT AGREEMENT Prepared by R.R. Donnelley Financial - EX-10.4.1 Exhibit 10.4.1 EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”) is made as of the 30th day of October, 2014 (the “Effective Date”), between Hortonworks, Inc., a Delaware corporation (the “Company”), and Robert Bearden (the “Executive”). WHEREAS, the Executive is party to an offer letter agreement with the Company dated June 21, 2011, (th
November 10, 2014	EX-10.13	HDP for Microsoft Platforms Agreement between the Registrant and Microsoft Corporation, dated July 3, 2012. Prepared by R.R. Donnelley Financial - EX-10.13 Exhibit 10.13 CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR PORTIONS OF THIS DOCUMENT. [**] - INDICATES INFORMATION THAT HAS BEEN OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT HAS BEEN REQUESTED. ALL SUCH OMITTED INFORMATION HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT
November 10, 2014	EX-10.1	Form of Indemnification Agreement between the Registrant and each of its directors and executive officers. Prepared by R.R. Donnelley Financial - EX-10.1 Exhibit 10.1 INDEMNIFICATION AGREEMENT This Indemnification Agreement (“Agreement”) is made as of by and between Hortonworks, Inc., a Delaware corporation (the “Company”), and (“Indemnitee”). RECITALS WHEREAS, the Company desires to attract and retain the services of highly qualified individuals, such as Indemnitee, to serve the Company; WHEREAS, in o
November 10, 2014	EX-3.3	BYLAWS OF HORTONWORKS, INC. (A DELAWARE CORPORATION) TABLE OF CONTENTS Page ARTICLE I OFFICES 1 1.1 Registered Office 1 1.2 Offices 1 ARTICLE II MEETINGS OF STOCKHOLDERS 1 2.1 Location 1 2.2 Timing 1 2.3 Notice of Meeting 1 2.4 Stockholders’ Records Prepared by R.R. Donnelley Financial - EX-3.3 Exhibit 3.3 BYLAWS OF HORTONWORKS, INC. (A DELAWARE CORPORATION) TABLE OF CONTENTS Page ARTICLE I OFFICES 1 1.1 Registered Office 1 1.2 Offices 1 ARTICLE II MEETINGS OF STOCKHOLDERS 1 2.1 Location 1 2.2 Timing 1 2.3 Notice of Meeting 1 2.4 Stockholders’ Records 1 2.5 Special Meetings 2 2.6 Notice of Meeting 2 2.7 Business Transacted at Special Meeting
November 10, 2014	EX-10.3	Restricted Stock Unit Award Agreement for Company Employees under the Hortonworks, Inc. 2014 Stock Option and Incentive Plan. Exhibit 10.3 HORTONWORKS, INC. 2014 STOCK OPTION AND INCENTIVE PLAN SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Hortonworks, Inc. 2014 Stock Option and Incentive Plan (the “Plan”). The purpose of the Plan is to encourage and enable the officers, employees, Non-Employee Directors and Consultants of Hortonworks, Inc. (the “Company”) and its Subsidiaries upon whose
November 10, 2014	EX-21.1	Subsidiaries of Hortonworks, Inc. Prepared by R.R. Donnelley Financial - EX-21.1 Exhibit 21.1 Subsidiaries of Hortonworks, Inc. Pachydermworks, C.V. (Bermuda) Hortonworks, B.V. (Netherlands) Hortonworks UK Limited (United Kingdom) Hortonworks Data Platform India Private Limited (India) Hortonworks GmbH Yertleworks, LLC Pachydermworks, LLC Hortonworks Korea Agniv, Inc. dba XA Secure
September 29, 2014	EX-10	HDP / Hortonworks, Inc. EX-10 - - Prepared by R.R. Donnelley Financial - EX-10.3 Exhibit 10.3 HORTONWORKS, INC. 2014 STOCK OPTION AND INCENTIVE PLAN SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Hortonworks, Inc. 2014 Stock Option and Incentive Plan (the Plan). The purpose of the Plan is to encourage and enable the officers, employees, Non-Employee Directors and Consultants of Hortonworks, Inc.
September 29, 2014	EX-10	HDP / Hortonworks, Inc. EX-10 - - Prepared by R.R. Donnelley Financial - EX-10.11 Exhibit 10.11 HORTONWORKS, INC. SENIOR EXECUTIVE CASH INCENTIVE BONUS PLAN 1. Purpose This Senior Executive Cash Incentive Bonus Plan (the “Incentive Plan”) is intended to provide an incentive for superior work and to motivate eligible executives of Hortonworks, Inc. (the “Company”) and its subsidiaries toward even higher achievement and business res

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