Filing Details

Accession Number:
0000899243-16-014109
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-02-23 18:53:50
Reporting Period:
2016-02-19
Filing Date:
2016-02-23
Accepted Time:
2016-02-23 18:53:50
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
Vp Corporate Strategy 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 2016-02-19 18,029 $1.28 291,595 No 4 M Direct
Common Stock Disposition 2016-02-19 18,029 $10.00 273,566 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2016-02-19 18,029 $0.00 18,029 $1.28
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
100,562 2022-07-31 No 4 M Direct
Footnotes
  1. This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 9, 2015.
  2. 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.