SEC Form 4 · accession 0000899243-18-003338
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shaun Connolly
Officer — Chief Strategy Officer
Period of report
Feb 6, 2018
Accepted (ET)
Feb 8, 2018 · 9:40 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 StockF1 | Feb 6, 2018 | A | 7,102 | $0.00 | A | 243,088 | D | |
| Common StockF3 | Feb 8, 2018 | S | 7,102 | $19.22 | D | 235,986 | D |
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 Amended and Restated 2014 Stock Option and Incentive Plan.
- F2This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 15, 2017.
- F3Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $19.00 to $19.46 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.