0000899243-18-009099.txt : 20180402 0000899243-18-009099.hdr.sgml : 20180402 20180402191556 ACCESSION NUMBER: 0000899243-18-009099 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180329 FILED AS OF DATE: 20180402 DATE AS OF CHANGE: 20180402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gnau Scott E CENTRAL INDEX KEY: 0001565530 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36780 FILM NUMBER: 18730865 MAIL ADDRESS: STREET 1: 17095 VIA DEL CAMPO CITY: SAN DIEGO STATE: CA ZIP: 92127 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Hortonworks, Inc. CENTRAL INDEX KEY: 0001610532 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 371634325 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5470 GREAT AMERICA PARKWAY CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 408-916-4121 MAIL ADDRESS: STREET 1: 5470 GREAT AMERICA PARKWAY CITY: SANTA CLARA STATE: CA ZIP: 95054 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2018-03-29 2018-03-23 0 0001610532 Hortonworks, Inc. HDP 0001565530 Gnau Scott E C/O HORTONWORKS, INC. 5470 GREAT AMERICA PARKWAY SANTA CLARA CA 95054 0 1 0 0 Chief Technology Officer Common Stock 2018-03-21 4 A 0 70000 0.00 A 408594 D On March 21, 2018, the Reporting Person was granted 70,000 restricted stock units ("RSUs"). Each RSU represents the right to receive, at settlement, one share of common stock. 25,000 of such RSUs shall vest and become releaseable in a series of four (4) successive 3-month installments commencing on February 15, 2019, and thereafter, the balance of such RSUs shall vest and become releaseable in a series of four (4) successive 3-month installments commencing on February 15, 2020, all subject to the Reporting Person's continued status as a service provider. All or portion of the unvested RSUs are subject to acceleration upon the occurrence of certain events. This amendment to the Form 4 filed with the Securities and Exchange Commission on March 23, 2018 is being filed solely to report an amendment to the vesting schedule of such RSUs. /s/ Anne Kuykendall as Attorney-in-Fact for Scott E. Gnau 2018-04-02