0000899243-16-021146.txt : 20160527 0000899243-16-021146.hdr.sgml : 20160527 20160527204015 ACCESSION NUMBER: 0000899243-16-021146 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160525 FILED AS OF DATE: 20160527 DATE AS OF CHANGE: 20160527 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: CORMIER PAUL J CENTRAL INDEX KEY: 0001180601 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36780 FILM NUMBER: 161683701 MAIL ADDRESS: STREET 1: C/O RED HAT, INC STREET 2: 100 EAST DAVIE STREET CITY: RALEIGH STATE: NC ZIP: 27601 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-05-25 0 0001610532 Hortonworks, Inc. HDP 0001180601 CORMIER PAUL J C/O HORTONWORKS, INC. 5470 GREAT AMERICA PARKWAY SANTA CLARA CA 95054 1 0 0 0 Common Stock 2016-05-25 4 A 0 12998 0.00 A 120973 D Exempt grant of restricted stock units under the Issuer's Amended and Restated 2014 Stock Option and Incentive Plan. The units will vest and settle for shares of Common Stock of the Issuer on May 25, 2017, subject to the Reporting Person's continuous service as a board member through such date. Unvested shares are subject to acceleration upon the occurrence of certain events. /s/ David Howard as Attorney-in-fact for Paul J. Cormier 2016-05-27