SEC Form 4 · accession 0000899243-18-026577
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott E Gnau
Officer — Chief Technology Officer
Period of report
Oct 9, 2018
Accepted (ET)
Oct 11, 2018 · 5:57 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,F3 | Oct 9, 2018 | S | 6,875 | $22.58 | D | 342,200 | D |
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 $22.32 to $22.96 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.
- F3Reflects an adjusted total, which includes a purchase of 99 shares under the Hortonworks, Inc. 2014 Employee Stock Purchase Plan in a transaction exempt from Section 16(b) pursuant to Rule 16b-3(c).