SEC Form 4 · accession 0000899243-16-026349
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Greg Pavlik
Officer — Chief Product Officer
Period of report
Aug 2, 2016
Accepted (ET)
Aug 4, 2016 · 8:59 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 | 10,955 | $0.00 | A | 390,696 | D | |
| Common Stock | Aug 2, 2016 | F | 4,116 | $12.60 | D | 386,580 | D | |
| Common Stock | holding | — | — | — | 225,336 | I | Gregory Pavlik and Ruth Ann Pavlik, as trustees of the Pavlik Trust dated March 15, 2013 |
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 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).