0000899243-16-011975.txt : 20160120 0000899243-16-011975.hdr.sgml : 20160120 20160120190524 ACCESSION NUMBER: 0000899243-16-011975 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160115 FILED AS OF DATE: 20160120 DATE AS OF CHANGE: 20160120 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: Connolly Shaun CENTRAL INDEX KEY: 0001626688 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36780 FILM NUMBER: 161352145 MAIL ADDRESS: STREET 1: 3460 W. BAYSHORE ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-01-15 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 2016-01-15 4 M 0 18029 1.28 A 270115 D Common Stock 2016-01-15 4 S 0 18029 16.27 D 252086 D Incentive Stock Option (right to buy) 1.28 2016-01-15 4 M 0 18029 0.00 D 2022-07-31 Common Stock 18029 118591 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 $15.85 to $16.72 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. 1/4th of the shares subject to the option vested on August 1, 2013 and 1/48th of the shares subject to the option vest monthly thereafrter, subject to the Reporting Person's continuous service to the Issuer on each such date. All or a portion of the then unvested shares are subject to acceleration upon the occurrence of certain events. /s/ David Howard as Attorney-in-fact for Shaun Connolly 2016-01-19