0000899243-18-026577.txt : 20181011 0000899243-18-026577.hdr.sgml : 20181011 20181011175745 ACCESSION NUMBER: 0000899243-18-026577 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181009 FILED AS OF DATE: 20181011 DATE AS OF CHANGE: 20181011 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: 181119027 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 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-10-09 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 2018-10-09 4 S 0 6875 22.58 D 342200 D This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Represents 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. Reflects 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). /s/ Anne Kuykendall as Attorney-in-Fact for Scott E. Gnau 2018-10-11