SEC Form 4 · accession 0000899243-15-001431
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Herbert Cunitz
Officer — President
Period of report
Jul 16, 2015
Accepted (ET)
Jul 20, 2015 · 7:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001610532
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F3,F4 | Jul 16, 2015 | S | 1,000 | $25.64 | D | 249,000 | I | See Footnote |
| Common StockF1,F3,F5 | Jul 16, 2015 | S | 1,000 | $25.64 | D | 249,000 | I | See Footnote |
| Common StockF1,F3,F6 | Jul 16, 2015 | S | 1,000 | $25.64 | D | 876,693 | I | See Footnote |
| Common StockF2,F3,F4 | Jul 17, 2015 | S | 1,000 | $25.84 | D | 248,000 | I | See Footnote |
| Common StockF2,F3,F5 | Jul 17, 2015 | S | 1,000 | $25.84 | D | 248,000 | I | See Footnote |
| Common StockF2,F3,F6 | Jul 17, 2015 | S | 1,000 | $25.84 | D | 875,693 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $25.15 to $25.91 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 purchased by the reporting person at each separate price within the range.
- F2Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $25.71 to $25.98 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 purchased by the reporting person at each separate price within the range.
- F3These transactions was executed pursuant to a 10b5-1 trading plan executed on March 8, 2015
- F4Herbert D. Cunitz and Laura J. Cunitz, Trustees of the Cunitz 2014 Irrevocable Trust fbo Jaclyn L. Cunitz
- F5Herbert D. Cunitz and Laura J. Cunitz, Trustees of the Cunitz 2014 Irrevocable Trust fbo Graham M. Cunitz
- F6Herbert D. Cunitz and Laura J. Cunitz, Trustees of the Herbert D. Cunitz Trust dated March 17, 2000