SEC Form 4 · accession 0000899243-15-004154
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Herbert Cunitz
Officer — President
Period of report
Aug 25, 2015
Accepted (ET)
Aug 27, 2015 · 6:34 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 | Aug 25, 2015 | S | 750 | $23.85 | D | 243,250 | I | See Footnote |
| Common StockF1,F3,F5 | Aug 25, 2015 | S | 750 | $23.85 | D | 243,250 | I | See Footnote |
| Common StockF1,F3,F6 | Aug 25, 2015 | S | 750 | $23.85 | D | 870,943 | I | See Footnote |
| Common StockF2,F3,F4 | Aug 26, 2015 | S | 750 | $23.06 | D | 242,500 | I | See Footnote |
| Common StockF2,F3,F5 | Aug 26, 2015 | S | 750 | $23.06 | D | 242,500 | I | See Footnote |
| Common StockF2,F3,F6 | Aug 26, 2015 | S | 750 | $23.06 | D | 870,193 | 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 $23.32 to $24.30 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 $22.78 to $23.31 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 were 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