SEC Form 4 · accession 0000899243-18-012367
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
May 8, 2018
Accepted (ET)
May 10, 2018 · 5:09 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 | May 8, 2018 | S | 56,950 | $18.97 | D | 1,545,930 | D | |
| Common StockF3 | May 9, 2018 | S | 56,950 | $17.80 | D | 1,488,980 | D | |
| Common Stock | holding | — | — | — | 818,252 | 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.
- F2Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $18.58 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.
- F3Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $16.96 to $18.95 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.