Filing Details
- Accession Number:
- 0000899243-17-019479
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-08-01 21:39:35
- Reporting Period:
- 2017-07-28
- Filing Date:
- 2017-08-01
- Accepted Time:
- 2017-08-01 21:39:35
- 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 | Chief Development 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 | 2017-07-28 | 5,532 | $0.00 | 263,584 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2017-08-01 | 5,532 | $13.35 | 258,052 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 77,951 | Indirect | Gregory Pavlik and Ruth Ann Pavlik, as trustees of the Pavlik Trust dated March 15, 2013 |
Footnotes
- Acquired upon the settlement of performance stock units granted on June 3, 2015 under the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan.
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 13, 2016.
- Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $13.26 to $13.49 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 of each separate price within the range.
Billionaire Hedge Funds
