0000899243-15-010513.txt : 20151230 0000899243-15-010513.hdr.sgml : 20151230 20151230174709 ACCESSION NUMBER: 0000899243-15-010513 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151228 FILED AS OF DATE: 20151230 DATE AS OF CHANGE: 20151230 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: Cunitz Herbert CENTRAL INDEX KEY: 0001626708 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36780 FILM NUMBER: 151314356 MAIL ADDRESS: STREET 1: 3640 W. BAYSHORE ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-12-28 0 0001610532 Hortonworks, Inc. HDP 0001626708 Cunitz Herbert C/O HORTONWORKS, INC. 5470 GREAT AMERICA PARKWAY SANTA CLARA CA 95054 0 1 0 0 President Common Stock 89979 D Common Stock 2015-12-28 4 S 0 1300 20.97 D 232200 I See Footnote Common Stock 2015-12-28 4 S 0 1300 20.97 D 232200 I See Footnote Common Stock 2015-12-28 4 S 0 1300 20.97 D 859893 I See Footnote Common Stock 2015-12-29 4 S 0 1300 21.46 D 230900 I See Footnote Common Stock 2015-12-29 4 S 0 1300 21.46 D 230900 I See Footnote Common Stock 2015-12-29 4 S 0 1300 21.46 D 858593 I See Footnote These transactions were executed pursuant to a 10b5-1 trading plan executed on March 8, 2015. Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $21.06 to $21.96 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 at each separate price within the range. Herbert D. Cunitz and Laura J. Cunitz, Trustees of the Cunitz 2014 Irrevocable Trust fbo Jaclyn L. Cunitz. Herbert D. Cunitz and Laura J. Cunitz, Trustees of the Cunitz 2014 Irrevocable Trust fbo Graham M. Cunitz. Herbert D. Cunitz and Laura J. Cunitz, Trustees of the Herbert D. Cunitz Trust dated March 17, 2000. Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $20.85 to $21.30 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 at each separate price within the range. /s/ David Howard as Attorney-in-fact for Herbert Cunitz 2015-12-30