X0306 4 2017-09-10 0 0001610532 Hortonworks, Inc. HDP 0001229938 BEARDEN ROBERT G C/O HORTONWORKS, INC. 5470 GREAT AMERICA PARKWAY SANTA CLARA CA 95054 1 1 0 0 Chief Executive Officer Common Stock 2017-09-10 4 A 0 1786778 0.00 A 2128525 D Common Stock 2017-09-11 4 S 0 124944 17.06 D 1193308 I The Robert Gene Bearden, Jr. Family Trust Common Stock 2017-09-12 4 S 0 125056 16.50 D 1068252 I The Robert Gene Bearden, Jr. Family Trust Performance Stock Unit 0.00 2017-09-10 4 A 0 714711 0.00 A 2021-09-10 Common Stock 714711 714711 D On September 10, 2017, the Reporting person was granted 1,786,778 restricted stock units ("RSUs"). Each RSU represents the right to receive, at settlement, one share of common stock. One-twelfth (1/12) of such RSUs shall vest and become releasable on November 15, 2017, and thereafter, the balance of the RSUs shall vest and become releasable in a series of eleven (11) successive 3-month installments over the following thirty-three (33) months thereafter, all subject to grantee's continued status as a service provider. All or portion of the unvested RSUs are subject to acceleration upon the occurrence of certain events. Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $16.87 to $17.30 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 of each separate price within the range. Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $16.25 to $16.96 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 of each separate price within the range. On September 10, 2017, the Reporting Person was granted 714,711 performance stock units ("PSUs"). Each PSU represents the right to achieve, at settlement, one share of common stock. The PSUs will vest and become releasable upon the achievement of certain performance criteria. If such performance criteria are not achieved on or before September 10, 2021, the entire award will be forfeited. /s/ David Howard as Attorney-in-Fact for Robert G. Bearden 2017-09-12