SEC Form 4 · accession 0000899243-18-022734
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert G Bearden
Officer — President & CEO · Director
Period of report
Aug 15, 2018
Accepted (ET)
Aug 17, 2018 · 7:16 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 | Aug 15, 2018 | S | 74,449 | $22.05 | D | 1,265,633 | D | |
| Common StockF3 | Aug 16, 2018 | S | 74,449 | $21.87 | D | 1,191,184 | D | |
| Common StockF4 | Aug 16, 2018 | S | 54,600 | $21.87 | D | 763,652 | I | The Robert Gene Bearden, Jr. Family Trust |
| Common StockF5 | Aug 17, 2018 | S | 54,600 | $21.16 | D | 709,052 | 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 $21.77 to $22.37 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 $21.33 to $22.18 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.
- F4Represents the weighted average sale price for the entire number of shares sold. The sale prices range from to $21.35 to $22.19 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.
- F5Represents the weighted average sale price for the entire number of shares sold. The sale prices range from to $20.95 to $21.60 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.