Home > Insider Trading > Filing (0000899243-16-011432)

Filing Details

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	Chief Products Officer	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	2016-01-06	1,022	$4.76	212,038	No	4	M	Direct
Common Stock	Disposition	2016-01-06	1,022	$19.71	211,016	No	4	S	Direct
Common Stock	Disposition	2016-01-06	3,744	$19.86	245,923	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	Direct
No	4	S	Direct
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	2016-01-06	1,022	$0.00	1,022	$4.76

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
47,699		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 $19.71 per share.
Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $19.71 to $20.00 per share. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by the Reporting Person at each separate price within the range.
1/4th of the shares subject to the option vested on August 19, 2014 and 1/48th 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.