Filing Details
- Accession Number:
- 0000899243-17-002995
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-07 20:20:16
- Reporting Period:
- 2017-02-03
- Filing Date:
- 2017-02-07
- Accepted Time:
- 2017-02-07 20:20:16
- 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 |
|---|---|---|---|---|---|---|---|
| 1626688 | Shaun Connolly | C/O Hortonworks, Inc. 5470 Great America Parkway Santa Clara CA 95054 | Chief Strategy 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 | 2017-02-03 | 3,208 | $1.28 | 616,695 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-03 | 3,208 | $10.00 | 613,487 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-02-03 | 30,156 | $10.00 | 583,331 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-06 | 13,619 | $1.28 | 596,950 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-06 | 13,619 | $10.00 | 583,331 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2017-02-03 | 3,208 | $0.00 | 3,208 | $1.28 |
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2017-02-06 | 13,619 | $0.00 | 13,619 | $1.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 25,238 | 2022-07-31 | No | 4 | M | Direct | |
| 11,619 | 2022-07-31 | No | 4 | M | Direct |
Footnotes
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 14, 2016.
- Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $10.00 to $10.02 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 1, 2013 and 1/48th of the shares subject to the option vest monthly thereafter, subject to the Reporting Person's continuous service to the Issuer on each such date. All or a portion of the then unvested shares are subject to acceleration upon the occurrence of certain events.
Billionaire Hedge Funds
