SEC Form 4 · accession 0000899243-18-004619
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
Feb 15, 2018
Accepted (ET)
Feb 20, 2018 · 5:31 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 | Feb 15, 2018 | S | 74,449 | $18.21 | D | 1,905,177 | D | |
| Common StockF3 | Feb 16, 2018 | S | 74,450 | $18.40 | D | 1,830,727 | 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 $17.82 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 to $18.20 to $18.61 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.