0000899243-17-004300.txt : 20170215 0000899243-17-004300.hdr.sgml : 20170215 20170215204651 ACCESSION NUMBER: 0000899243-17-004300 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170214 FILED AS OF DATE: 20170215 DATE AS OF CHANGE: 20170215 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: 17616237 MAIL ADDRESS: STREET 1: 3460 W. BAYSHORE ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-02-14 0 0001610532 Hortonworks, Inc. HDP 0001626688 Connolly Shaun C/O HORTONWORKS, INC. 5470 GREAT AMERICA PARKWAY SANTA CLARA CA 95054 0 1 0 0 Chief Strategy Officer Common Stock 2017-02-14 4 S 0 10740 10.09 D 572591 D Common Stock 2017-02-15 4 M 0 2804 1.28 A 575395 D Common Stock 2017-02-15 4 S 0 2804 10.42 D 572591 D Common Stock 2017-02-15 4 S 0 5026 10.42 D 567565 D Incentive Stock Option (right to buy) 1.28 2017-02-15 4 M 0 2804 0.00 D 2022-07-31 Common Stock 2804 8815 D This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 14, 2016. Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $9.82 to $10.37 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 thereafter, 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/ Anne Kuykendall as Attorney-in-Fact for Shaun Connolly 2017-02-15