0000899243-15-001041.txt : 20150710 0000899243-15-001041.hdr.sgml : 20150710 20150710162215 ACCESSION NUMBER: 0000899243-15-001041 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150708 FILED AS OF DATE: 20150710 DATE AS OF CHANGE: 20150710 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: 3460 WEST BAYSHORE ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 BUSINESS PHONE: 408-916-4121 MAIL ADDRESS: STREET 1: 3460 WEST BAYSHORE ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pavlik Greg CENTRAL INDEX KEY: 0001626754 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36780 FILM NUMBER: 15983917 MAIL ADDRESS: STREET 1: 3460 W. BAYSHORE ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-07-08 0 0001610532 Hortonworks, Inc. HDP 0001626754 Pavlik Greg C/O HORTONWORKS, INC. 5470 GREAT AMERICA PARKWAY SANTA CLARA CA 95054 0 1 0 0 VP, Engineering Common Stock 2015-07-08 4 M 0 1022 4.76 A 456556 I Gregory Pavlik and Ruth Ann Pavlik, as trustees of the Pavlik Trust dated March 15, 2013 Common Stock 2015-07-08 4 S 0 17866 23.67 D 438690 I Gregory Pavlik and Ruth Ann Pavlik, as trustees of the Pavlik Trust dated March 15, 2013 Stock Option (Right to Buy) 4.76 2015-07-08 4 M 0 1022 0.00 D 2023-08-20 Common Stock 1022 60981 D This transaction was executed pursuant to a 10b5-1 trading plan executed on March 11, 2015. This transaction was executed in a single open market trade at a price of $23.67 per share. 1/4th of the shares subject to the option vested on August 19, 2014 and 1/48 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. 100% of the then unvested shares are subject to acceleration upon the occurrence of certain events. /s/ David Howard as Attorney-in-fact for Gregory Pavlik 2015-07-10