Amended Statement of Ownership (sc 13g/a)
February 09 2018 - 1:48PM
Edgar (US Regulatory)
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 the appropriate box to designate the rule pursuant to
which this Schedule is filed:
[X] Rule 13d-1(b)
[_] Rule 13d-1(c)
[_] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a
reporting persons initial filing on this form with respect to the subject class
of securities, and for any subsequent amendment containing information which
would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page
shall not be deemed to be filed for the purpose of Section 18 of the
Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities
of that section of the Act but shall be subject to all other provisions of the
Act (however, see the
Notes
).
SCHEDULE 13G
1
|
Names of Reporting Persons
|
|
|
|
Passport Capital, LLC
|
2
|
Check the appropriate box if a member of a Group (see
instructions)
|
|
|
|
(a)
[ ]
|
|
(b) [
]
|
3
|
Sec Use Only
|
|
|
|
|
4
|
Citizenship or Place of Organization
|
|
|
|
Delaware
|
|
5
|
Sole Voting Power
|
|
|
|
|
|
|
Number of
|
|
|
Shares
|
6
|
Shared Voting Power
|
Beneficially
|
|
|
Owned
|
|
0 (See Item 2)
|
by Each
|
|
|
Reporting
|
7
|
Sole Dispositive Power
|
Person
|
|
|
With:
|
|
|
|
|
|
|
8
|
Shared Dispositive Power
|
|
|
|
|
|
0 (See Item 2)
|
9
|
Aggregate Amount Beneficially Owned by Each Reporting
Person
|
|
|
|
0 (See Item 2)
|
|
|
10
|
Check box if the aggregate amount in row (9) excludes
certain shares (See Instructions)
|
|
|
|
[ ]
|
|
|
11
|
Percent of class represented by amount in row
(9)
|
|
|
|
0%
|
|
|
12
|
Type of Reporting Person (See Instructions)
|
|
|
|
IA
|
Page 2 of 7
SCHEDULE 13G
1
|
Names of Reporting Persons
|
|
|
|
John H. Burbank III
|
2
|
Check the appropriate box if a member of a Group (see
instructions)
|
|
|
|
(a) [
]
|
|
(b)
[ ]
|
3
|
Sec Use Only
|
|
|
|
|
4
|
Citizenship or Place of Organization
|
|
|
|
United States of America
|
|
5
|
Sole Voting Power
|
|
|
|
|
|
0
|
Number of
|
|
|
Shares
|
6
|
Shared Voting Power
|
Beneficially
|
|
|
Owned
|
|
0 (See Item 2)
|
by Each
|
|
|
Reporting
|
7
|
Sole Dispositive Power
|
Person
|
|
|
With:
|
|
0
|
|
|
|
|
8
|
Shared Dispositive Power
|
|
|
|
|
|
0 (See Item 2)
|
9
|
Aggregate Amount Beneficially Owned by Each Reporting
Person
|
|
|
|
0 (See Item 2)
|
|
|
10
|
Check box if the aggregate amount in row (9) excludes
certain shares (See Instructions)
|
|
|
|
[ ]
|
|
|
11
|
Percent of class represented by amount in row
(9)
|
|
|
|
0%
|
|
|
12
|
Type of Reporting Person (See Instructions)
|
|
|
|
IN
|
Page 3 of 7
Item 1.
(a)
|
Name of Issuer:
Hortonworks, Inc.
|
|
|
(b)
|
Address of Issuers Principal Executive
Offices:
|
|
5470 Great America Parkway
Santa Clara, California
95054
|
Item 2.
Name of Person Filing:
Passport Capital, LLC (Passport
Capital); and
John H. Burbank III (Burbank, together with Passport
Capital, the Reporting Persons).
Passport Capital is the investment
manager to certain funds (the Funds). The Funds are the owners of record of an
aggregate of 0 Shares. Under the terms of the relevant investment management
agreements, Passport Capital has the right to dispose of and vote the Shares
owned of record by the Funds. Burbank is the sole managing member of Passport
Capital. As a result, each of Passport Capital and Burbank may be considered to
share (i) the power to vote or direct the vote of and (ii) the power to dispose
or direct the disposition of, the Shares owned of record by the Funds. This
statement on Schedule 13G shall not be construed as an admission that any of the
Funds is the beneficial owner of the Shares covered by this statement.
(a)
|
Address of Principal Business Office or, if None,
Residence:
|
|
|
|
For each Reporting Person: c/o Passport Capital,
LLC
|
|
|
|
One Market Street, Steuart Tower, Suite 2200 San
Francisco, CA 94105
|
|
|
(b)
|
Citizenship:
|
|
|
|
See row 4 of each Reporting Persons respective cover
page.
|
|
|
(c)
|
Title and Class of Securities:
|
|
|
|
Common Stock
|
|
|
(d)
|
CUSIP No.:
440894103
|
Item 3.
|
If this statement is filed pursuant to §§ 240.13d-1(b)
or 240.13d-2(b) or (c), check whether the
person filing is a:
|
|
(a)
|
[_]
|
Broker or dealer registered under
Section 15 of the Act;
|
|
|
|
|
|
(b)
|
[_]
|
Bank as defined in Section
3(a)(6) of the Act;
|
|
|
|
|
|
(c)
|
[_]
|
Insurance company as defined in
Section 3(a)(19) of the Act;
|
|
|
|
|
|
(d)
|
[_]
|
Investment company registered
under Section 8 of the Investment Company Act of 1940;
|
|
|
|
|
|
(e)
|
[X]
|
An investment adviser in
accordance with Rule 13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
(f)
|
[_]
|
An employee benefit plan or
endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
|
Page 4 of 7
|
(g)
|
[X]
|
A parent holding company or control person in accordance
with Rule 13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
(h)
|
[_]
|
A savings associations as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
(i)
|
[_]
|
A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the Investment Company Act of
1940;
|
|
|
|
|
|
(j)
|
[_]
|
A non-U.S. institution in accordance with Rule
240.13d-1(b)(1)(ii)(J);
|
|
|
|
|
|
(k)
|
[_]
|
Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If
filing as a non-U.S. institution in accordance with Rule
240.13d-1(b)(1)(ii)(J), please specify the type of institution:
|
Item 4. Ownership
(a)
|
Amount Beneficially Owned:
|
|
|
|
See disclosure in Item 2 hereof.
|
|
|
(b)
|
Percent of Class:
|
|
|
|
See Item 11 of each Reporting Persons respective cover
page.
|
|
|
(c)
|
Number of shares as to which such person
has:
|
|
|
|
See Items 5-8 of each Reporting Persons respective cover
page.
|
|
(i)
|
Sole power to vote or to direct the
vote:
|
|
|
|
|
(ii)
|
Shared power to vote or to direct the
vote:
|
|
|
|
|
(iii)
|
Sole power to dispose or to direct the disposition
of:
|
|
|
|
|
(iv)
|
Shared power to dispose or to direct the disposition
of:
|
Item
5.
|
Ownership of Five Percent or
Less of a Class.
|
|
|
|
If this statement is being filed to report the fact that
as of the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the
following [X].
|
|
|
Item
6.
|
Ownership of more than Five Percent on Behalf of
Another Person.
|
|
|
|
Not Applicable.
|
|
|
Item
7.
|
Identification and classification of the subsidiary
which acquired the security being reported on
by the parent holding
company or control person.
|
|
|
|
See disclosure in Item 2 hereof.
|
|
|
Item
8.
|
Identification and classification of members of the
group.
|
|
|
|
Not Applicable.
|
Page 5 of 7
Item 9.
|
Notice of Dissolution of
Group.
|
|
|
|
Not Applicable.
|
|
|
Item 10.
|
Certifications.
|
|
|
|
By signing below I certify that, to the best of my
knowledge and belief, the securities referred to above were acquired and
are held in the ordinary course of business and were not acquired and are
not held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and are
not held in connection with or as a participant in any transaction having
that purpose or effect, other than activities solely in connection with a
nomination under §240.14a-11.
|
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true,
complete and correct.
Dated: January 31, 2018
PASSPORT CAPITAL, LLC
|
By:
|
/s/ JOHN H. BURBANK III
|
|
|
John H. Burbank III,
|
|
|
Managing Member
|
JOHN H. BURBANK III
|
By:
|
/s/ JOHN H. BURBANK III
|
Page 6 of 7
Exhibit 1
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(k) under the
Securities Exchange Act of 1934, as amended, the undersigned agree to the joint
filing on behalf of each of them the statement on Schedule 13G to which this
agreement is attached as an exhibit.
The undersigned further agree that each party hereto is responsible
for the timely filing of such Schedule 13G and any amendments thereto, and for
the completeness and accuracy of the information concerning such party contained
therein; provided, however, that no party is responsible for the completeness or
accuracy of the information concerning any other party making the filing, unless
such party knows or has reason to believe that such information is
inaccurate.
IN WITNESS WHEREOF, the parties have executed this Joint Filing
Agreement on
January 31, 2018
.
PASSPORT CAPITAL, LLC
|
By:
|
/s/ JOHN H. BURBANK III
|
|
|
John H. Burbank III,
|
|
|
Managing Member
|
JOHN H. BURBANK III
|
By:
|
/s/ JOHN H. BURBANK III
|
The original statement shall be signed by each person on whose
behalf the statement is filed or his authorized representative. If the statement
is signed on behalf of a person by his authorized representative (other than an
executive officer or general partner of this filing person), evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement, provided, however, that a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
Attention: Intentional misstatements or omissions of fact
constitute Federal criminal violations (See 18 U.S.C. 1001).
Page 7 of 7
HORTONWORKS, INC. (NASDAQ:HDP)
Historical Stock Chart
From Aug 2024 to Sep 2024
HORTONWORKS, INC. (NASDAQ:HDP)
Historical Stock Chart
From Sep 2023 to Sep 2024