0000899243-16-026349.txt : 20160804 0000899243-16-026349.hdr.sgml : 20160804 20160804205951 ACCESSION NUMBER: 0000899243-16-026349 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160802 FILED AS OF DATE: 20160804 DATE AS OF CHANGE: 20160804 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: 161808926 MAIL ADDRESS: STREET 1: 3460 W. BAYSHORE ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-08-02 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 2016-08-02 4 A 0 10955 0.00 A 390696 D Common Stock 2016-08-02 4 F 0 4116 12.60 D 386580 D Common Stock 225336 I Gregory Pavlik and Ruth Ann Pavlik, as trustees of the Pavlik Trust dated March 15, 2013 Acquired upon the settlement of performance stock units granted on June 3, 2015 under the 2014 Stock Option and Incentive Plan. Withholding of stock to satisfy tax withholding obligations with respect to the settlement of performance stock units referenced in footnote (1). /s/ David Howard as Attorney-in-Fact for Gregory Pavlik 2016-08-04