SEC Form 4 · accession 0000899243-16-032092
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
Oct 18, 2016
Accepted (ET)
Oct 20, 2016 · 9:17 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 StockF2 | Oct 18, 2016 | S | 18,663 | $6.81 | D | 361,078 | D | |
| Common StockF3 | Oct 19, 2016 | S | 15,656 | $6.96 | D | 133,367 | 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
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 13, 2016.
- F2Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $6.50 to $6.895 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 of each separate price within the range.
- F3Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $6.81 to $7.06 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 of each separate price within the range.