SEC Form 4 · accession 0000899243-16-018437

Hortonworks, Inc. · HDP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President

Period of report

Apr 20, 2016

Accepted (ET)

Apr 22, 2016 · 6:47 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 Stock^F1,F2	Apr 20, 2016	S	7,000	$11.91	D	109,830	D
Common Stock^F1,F3	Apr 21, 2016	S	6,972	$12.34	D	102,858	D
Common Stock^F4	holding	—	—		—	230,900	I	See Footnote
Common Stock^F5	holding	—	—		—	230,900	I	See Footnote
Common Stock^F6	holding	—	—		—	858,593	I	See Footnote

No Table II lines on this filing.

F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2015.
F2Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $11.76 to $12.10 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.
F3Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $12.04 to $12.50 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.
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.