0000899243-15-004977.txt : 20150917 0000899243-15-004977.hdr.sgml : 20150917 20150917200313 ACCESSION NUMBER: 0000899243-15-004977 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150915 FILED AS OF DATE: 20150917 DATE AS OF CHANGE: 20150917 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: Connolly Shaun CENTRAL INDEX KEY: 0001626688 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36780 FILM NUMBER: 151113787 MAIL ADDRESS: STREET 1: 3460 W. BAYSHORE ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-09-15 0 0001610532 Hortonworks, Inc. HDP 0001626688 Connolly Shaun C/O HORTONWORKS, INC. 5470 GREAT AMERICA PARKWAY SANTA CLARA CA 95054 0 1 0 0 VP, Corporate Strategy Common Stock 2015-09-15 4 M 0 18029 1.28 A 239078 D Common Stock 2015-09-15 4 S 0 18029 24.40 D 221049 D Common Stock 2015-09-15 4 S 0 3800 24.49 D 217249 D Common Stock 1.28 2015-09-15 4 M 0 18029 0.00 D 2012-08-01 2022-07-31 Common Stock 18029 190706 D This transaction was executed pursuant to a 10b5-1 trading plan executed on March 9, 2015. Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $23.69 to $25.05 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 purchased by the reporting person at each separate price within the range. This transaction was executed in a single open market trade at a price of $24.49 per share. 1/4th of the shares subject to the option vested on August 1, 2013 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. All or a portion of the unvested shares are subject to acceleration upon the occurrence of certain events. /s/ David Howard as Attorney-in-fact for Shaun Connolly 2015-09-17