SEC Form 4 · accession 0000899243-15-005460
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Herbert Cunitz
Officer — President
Period of report
Sep 24, 2015
Accepted (ET)
Sep 28, 2015 · 7:37 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 | Sep 24, 2015 | S | 750 | $23.65 | D | 240,250 | I | See Footnote |
| Common StockF1,F3,F5 | Sep 24, 2015 | S | 750 | $23.65 | D | 240,250 | I | See Footnote |
| Common StockF1,F3,F6 | Sep 24, 2015 | S | 750 | $23.65 | D | 867,943 | I | See Footnote |
| Common StockF2,F3,F4 | Sep 25, 2015 | S | 750 | $23.43 | D | 239,500 | I | See Footnote |
| Common StockF2,F3,F5 | Sep 25, 2015 | S | 750 | $23.43 | D | 239,500 | I | See Footnote |
| Common StockF2,F3,F6 | Sep 25, 2015 | S | 750 | $23.43 | D | 867,193 | 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 $23.34 to $23.95 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 $22.98 to $23.82 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