SEC Form 4 · accession 0001209191-15-018113
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 20, 2015
Accepted (ET)
Feb 24, 2015 · 8:16 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 Stock | Feb 20, 2015 | M | 160,000 | $0.54 | A | 191,617 | D | |
| Common Stock | holding | — | — | — | 1,718,382 | I | Robert Gene Bearden, Jr. Grantor Retained Annuity Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF1 | $0.54 | Feb 20, 2015 | M | 160,000 | D | Feb 9, 2012 | Feb 4, 2016 | Common Stock | 160,000 | 384,227 | D |
Explanation of responses
- F1This option is early exercisable. 1/48th of the shares subject to the option vested on March 4, 2012 and 1/48th of the shares subject to the option shall vest monthly thereafter, subject to the Reporting person's continuous service to the Issuer on each such date. Unvested shares are subject to acceleration upon the occurrence of certain events.