SEC Form 4 · accession 0000899243-15-010513
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Herbert Cunitz
Officer — President
Period of report
Dec 28, 2015
Accepted (ET)
Dec 30, 2015 · 5:47 pm EST
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 StockF6,F3 | Dec 28, 2015 | S | 1,300 | $20.97 | D | 232,200 | I | See Footnote |
| Common StockF6,F4 | Dec 28, 2015 | S | 1,300 | $20.97 | D | 232,200 | I | See Footnote |
| Common StockF6,F5 | Dec 28, 2015 | S | 1,300 | $20.97 | D | 859,893 | I | See Footnote |
| Common StockF2,F3 | Dec 29, 2015 | S | 1,300 | $21.46 | D | 230,900 | I | See Footnote |
| Common StockF2,F4 | Dec 29, 2015 | S | 1,300 | $21.46 | D | 230,900 | I | See Footnote |
| Common StockF2,F5 | Dec 29, 2015 | S | 1,300 | $21.46 | D | 858,593 | I | See Footnote |
| Common Stock | holding | — | — | — | 89,979 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These transactions were executed pursuant to a 10b5-1 trading plan executed on March 8, 2015.
- F2Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $21.06 to $21.96 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 at each separate price within the range.
- F3Herbert D. Cunitz and Laura J. Cunitz, Trustees of the Cunitz 2014 Irrevocable Trust fbo Jaclyn L. Cunitz.
- F4Herbert D. Cunitz and Laura J. Cunitz, Trustees of the Cunitz 2014 Irrevocable Trust fbo Graham M. Cunitz.
- F5Herbert D. Cunitz and Laura J. Cunitz, Trustees of the Herbert D. Cunitz Trust dated March 17, 2000.
- F6Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $20.85 to $21.30 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 sold by the Reporting Person at each separate price within the range.