SEC Form 5 · accession 0000899243-16-012706
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert G Bearden
Officer — Chief Executive Officer · Director
Period of report
Dec 31, 2015
Accepted (ET)
Feb 4, 2016 · 6:23 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 StockF1 | Oct 14, 2015 | G | 35,930 | $0.00 | D | 1,682,452 | I | Robert Gene Bearden, Jr. Grantor Retained Annuity Trust |
| Common StockF1 | Oct 14, 2015 | G | 35,930 | $0.00 | A | 227,547 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Amount reflects the distribution and transfer on October 14, 2015 of 35,930 shares as an annuity payment from the Robert Gene Bearden, Jr. Grantor Retained Annuity Trust to the Reporting Person, which changed the Reporting Person's ownership of such shares from indirect to direct ownership.