SEC Form 4 · accession 0000899243-17-026823
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
Nov 15, 2017
Accepted (ET)
Nov 17, 2017 · 5:20 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 StockF2 | Nov 15, 2017 | S | 74,449 | $18.42 | D | 2,054,076 | D | |
| Common StockF3 | Nov 16, 2017 | S | 74,450 | $19.08 | D | 1,979,626 | D | |
| Common Stock | holding | — | — | — | 1,068,252 | I | The Robert Gene Bearden, Jr. Family Trust |
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 September 15, 2017.
- F2Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $18.00 to $18.58 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 $18.61 to $19.47 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.