SEC Form 5 · accession 0000899243-17-003982
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, 2016
Accepted (ET)
Feb 14, 2017 · 4:22 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 Stock | Oct 24, 2016 | G | 114,200 | $0.00 | D | 1,568,252 | I | Robert Gene Bearden, Jr. Grantor Retained Annuity Trust |
| Common Stock | Oct 24, 2016 | G | 114,200 | $0.00 | A | 341,747 | D | |
| Common Stock | Oct 24, 2016 | G | 1,568,252 | $0.00 | D | 0 | I | Robert Gene Bearden, Jr. Grantor Retained Annuity Trust |
| Common Stock | Oct 24, 2016 | G | 1,568,252 | $0.00 | A | 1,568,252 | I | The Robert Gene Bearden, Jr. Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Amount reflects the distribution and transfer on October 24, 2016 of 114,200 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.
- F2Amount reflects the distribution and transfer on October 24, 2016 of 1,568,252 shares from the Robert Gene Bearden, Jr. Grantor Retained Annuity Trust to The Robert Gene Bearden, Jr. Family Trust.