SEC Form 4 · accession 0000899243-16-026341
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Herbert Cunitz
Officer — President
Period of report
Aug 2, 2016
Accepted (ET)
Aug 4, 2016 · 8:52 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 | Aug 2, 2016 | A | 24,649 | $0.00 | A | 243,984 | D | |
| Common Stock | Aug 2, 2016 | F | 7,875 | $12.60 | D | 236,109 | D | |
| Common StockF3 | holding | — | — | — | 230,900 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 230,900 | I | See Footnote | |
| Common StockF5 | holding | — | — | — | 858,593 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Acquired upon the settlement of performance stock units granted on June 3, 2015 under the Issuer's 2014 Stock Option and Incentive Plan.
- F2Withholding of stock to satisfy tax withholding obligations with respect to the settlement of performance stock units referenced in footnote (1).
- 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.