Filing Details
- Accession Number:
- 0000899243-17-027919
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-12-04 20:18:19
- Reporting Period:
- 2017-11-30
- Accepted Time:
- 2017-12-04 20:18:19
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1610532 | Hortonworks Inc. | HDP | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1229938 | G Robert Bearden | C/O Hortonworks, Inc. 5470 Great America Parkway Santa Clara CA 95054 | Chief Executive Officer | Yes | 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 | 2017-11-30 | 200 | $0.54 | 1,979,826 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-30 | 200 | $19.51 | 1,979,626 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-12-01 | 120,000 | $0.54 | 2,099,626 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-12-01 | 120,000 | $19.03 | 1,979,626 | 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 | 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 | 2017-11-30 | 200 | $0.00 | 200 | $0.54 |
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2017-12-01 | 120,000 | $0.00 | 120,000 | $0.54 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 264,027 | 2022-02-08 | No | 4 | M | Direct | |
| 144,027 | 2022-02-08 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,068,252 | Indirect | The Robert Gene Bearden, Jr. Family Trust |
Footnotes
- Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $19.50 to $19.52 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 $18.86 to $19.32 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.
- 1/48th of the shares subject to the option vested on March 4, 2012, and 1/48th of the shares subject to the option vested monthly thereafter, subject to the Reporting person's continuous service to the Issuer on each such date.
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