Filing Details
- Accession Number:
- 0000899243-15-002659
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-08-07 19:06:26
- Reporting Period:
- 2015-08-05
- Filing Date:
- 2015-08-07
- Accepted Time:
- 2015-08-07 19:06:26
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1610532 | Hortonworks Inc. | HDP | Services-Prepackaged Software (7372) | 371634325 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1626754 | Greg Pavlik | C/O Hortonworks, Inc. 5470 Great America Parkway Santa Clara CA 95054 | Vp, Engineering | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2015-08-05 | 1,021 | $4.76 | 422,867 | No | 4 | M | Indirect | Gregory Pavlik and Ruth Ann Pavlik, as trustees of the Pavlik Trust dated March 15, 2013 |
| Common Stock | Disposition | 2015-08-05 | 17,865 | $22.49 | 405,002 | No | 4 | S | Indirect | Gregory Pavlik and Ruth Ann Pavlik, as trustees of the Pavlik Trust dated March 15, 2013 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Indirect | Gregory Pavlik and Ruth Ann Pavlik, as trustees of the Pavlik Trust dated March 15, 2013 |
| No | 4 | S | Indirect | Gregory Pavlik and Ruth Ann Pavlik, as trustees of the Pavlik Trust dated March 15, 2013 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2015-08-05 | 1,021 | $0.00 | 1,021 | $4.76 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 58,938 | 2023-08-20 | No | 4 | M | Direct |
Footnotes
- This transaction was executed pursuant to a 10b5-1 trading plan executed on March 11, 2015.
- This transaction was executed in a single open market trade at a price of $22.49 per share.
- 1/4th of the shares subject to the option vested on August 19, 2014 and 1/48 of the shares subject to the option shall vest monthly thereafter, subject to the Reporting Person's continuous service to the issuer on each such date. 100% of the then unvested shares are subject to acceleration upon the occurrence of certain events.
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