Filing Details
- Accession Number:
- 0000899243-17-021116
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-08-28 21:54:14
- Reporting Period:
- 2017-08-24
- Accepted Time:
- 2017-08-28 20:54:14
- 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 | 2017-08-24 | 33,250 | $14.22 | 418,579 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-08-24 | 33,250 | $16.02 | 385,329 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-08-25 | 11,720 | $14.22 | 397,049 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-08-25 | 21,694 | $14.22 | 418,743 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-08-25 | 33,414 | $16.10 | 385,329 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | Non-Qualified Stock Option (right to buy) | Disposition | 2017-08-24 | 33,250 | $0.00 | 33,250 | $14.22 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2017-08-25 | 21,694 | $0.00 | 21,694 | $14.22 |
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2017-08-25 | 11,720 | $0.00 | 11,720 | $14.22 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 47,998 | 2024-09-11 | No | 4 | M | Direct | |
| 26,304 | 2024-09-11 | No | 4 | M | Direct | |
| 7,031 | 2024-09-11 | No | 4 | M | Direct |
Footnotes
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 15, 2017.
- Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $16.00 to $16.08 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.
- Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $16.00 to $16.24 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.
- 1/4th of the shares subject to the option vested on September 12, 2015 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.
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