0000899243-18-003338.txt : 20180208 0000899243-18-003338.hdr.sgml : 20180208 20180208214027 ACCESSION NUMBER: 0000899243-18-003338 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180206 FILED AS OF DATE: 20180208 DATE AS OF CHANGE: 20180208 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: 18587447 MAIL ADDRESS: STREET 1: 3460 W. BAYSHORE ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-02-06 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 2018-02-06 4 A 0 7102 0.00 A 243088 D Common Stock 2018-02-08 4 S 0 7102 19.22 D 235986 D Acquired upon the settlement of performance stock units granted on June 3, 2015 under the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan. This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 15, 2017. Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $19.00 to $19.46 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. /s/ Anne Kuykendall as Attorney-in-Fact for Shaun Connolly 2018-02-08