0000899243-16-021402.txt : 20160601 0000899243-16-021402.hdr.sgml : 20160601 20160601215612 ACCESSION NUMBER: 0000899243-16-021402 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160527 FILED AS OF DATE: 20160601 DATE AS OF CHANGE: 20160601 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: Pavlik Greg CENTRAL INDEX KEY: 0001626754 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36780 FILM NUMBER: 161690840 MAIL ADDRESS: STREET 1: 3460 W. BAYSHORE ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-05-27 0 0001610532 Hortonworks, Inc. HDP 0001626754 Pavlik Greg C/O HORTONWORKS, INC. 5470 GREAT AMERICA PARKWAY SANTA CLARA CA 95054 0 1 0 0 Chief Product Officer Common Stock 2016-05-27 4 A 0 200000 0.00 A 413833 D Common Stock 227208 I Gregory Pavlik and Ruth Ann Pavlik, as trustees of the Pavlik Trust dated March 15, 2013 On May 27, 2016 the Reporting Person was granted 200,000 restricted stock units ("RSUs"). Each RSU represents the right to receive, at settlement, one share of common stock. One-half of the original grant shall vest and become releasable on the first anniversary of the vesting commencement date, and thereafter the balance of the RSU shall vest and become releasable in a series of two (2) successive equal six-month installments measured from the first anniversary of the vesting commencement date, subject to the participant's status as a service provider. /s/ David Howard as Attorney-in-Fact for Gregory Pavlik 2016-06-01