0000899243-17-004297.txt : 20170215 0000899243-17-004297.hdr.sgml : 20170215 20170215204451 ACCESSION NUMBER: 0000899243-17-004297 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170213 FILED AS OF DATE: 20170215 DATE AS OF CHANGE: 20170215 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gnau Scott E CENTRAL INDEX KEY: 0001565530 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36780 FILM NUMBER: 17616234 MAIL ADDRESS: STREET 1: 17095 VIA DEL CAMPO CITY: SAN DIEGO STATE: CA ZIP: 92127 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-02-13 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 2017-02-13 4 S 0 8404 10.71 D 278383 D Common Stock 2017-02-13 4 S 0 3877 10.60 D 274506 D This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 14, 2016. Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $10.70 to $10.73 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. Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $10.37 to $10.85 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. /s/ Anne Kuykendall as Attorney-in-fact for Scott E. Gnau 2017-02-15