Filing Details

Accession Number:
0000899243-17-022096
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-09-14 18:37:16
Reporting Period:
2017-09-12
Accepted Time:
2017-09-14 18:37:16
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 2017-09-12 2,083 $14.22 387,412 No 4 M Direct
Common Stock Disposition 2017-09-12 2,083 $17.01 385,329 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 Non-Qualified Stock Option (right to buy) Disposition 2017-09-12 2,083 $0.00 2,083 $14.22
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
24,221 2024-09-11 No 4 M Direct
Footnotes
  1. This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 15, 2017.
  2. Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $16.90 to $17.14 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.
  3. 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.