0001689923-20-000112.txt : 20201202 0001689923-20-000112.hdr.sgml : 20201202 20201202194819 ACCESSION NUMBER: 0001689923-20-000112 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201130 FILED AS OF DATE: 20201202 DATE AS OF CHANGE: 20201202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RUBIN KEVIN CENTRAL INDEX KEY: 0001198529 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38034 FILM NUMBER: 201365309 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alteryx, Inc. CENTRAL INDEX KEY: 0001689923 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 900673106 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3345 MICHELSON DRIVE STREET 2: SUITE 400 CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: (888) 836-4274 MAIL ADDRESS: STREET 1: 3345 MICHELSON DRIVE STREET 2: SUITE 400 CITY: IRVINE STATE: CA ZIP: 92612 4 1 wf-form4_160695648397216.xml FORM 4 X0306 4 2020-11-30 0 0001689923 Alteryx, Inc. AYX 0001198529 RUBIN KEVIN C/O ALTERYX, INC. 3345 MICHELSON DRIVE, SUITE 400 IRVINE CA 92612 0 1 0 0 Chief Financial Officer Class A Common Stock 2020-11-30 4 C 0 7187 0 A 44976 D Class A Common Stock 2020-11-30 4 F 0 3564 119.45 D 41412 D Class A Common Stock 2020-11-30 4 A 0 12682 0 A 54094 D Class A Common Stock 2020-12-01 4 S 0 2938 116.16 D 51156 D Class A Common Stock 2020-12-02 4 C 0 9061 0 A 60217 D Class A Common Stock 2020-12-02 4 M 0 4788 27.09 A 65005 D Class A Common Stock 2020-12-02 4 M 0 4786 68.26 A 69791 D Class A Common Stock 2020-12-02 4 S 0 18635 115.18 D 51156 D Class A Common Stock 2020-12-02 4 S 0 685 115 D 50471 D Restricted Stock Units 0.0 2020-11-30 4 M 0 7187 0 D 2020-11-29 2020-11-30 Class B Common Stock 7187.0 0 D Class B Common Stock 0.0 2020-11-30 4 M 0 7187 0 A Class A Common Stock 7187.0 7187 D Class B Common Stock 0.0 2020-11-30 4 C 0 7187 0 D Class A Common Stock 7187.0 0 D Stock Option (Right to Buy) 119.84 2020-11-30 4 A 0 26963 0 A 2030-11-30 Class A Common Stock 26963.0 26963 D Stock Option (Right to Buy) 12.3 2020-12-02 4 M 0 9061 0 D 2020-11-29 2026-11-28 Class B Common Stock 9061.0 0 D Class B Common Stock 0.0 2020-12-02 4 M 0 9061 0 A Class A Common Stock 9061.0 9061 D Class B Common Stock 0.0 2020-12-02 4 C 0 9061 0 D Class A Common Stock 9061.0 0 D Stock Option (Right to Buy) 27.09 2020-12-02 4 M 0 4788 0 D 2028-01-05 Class A Common Stock 4788.0 22381 D Stock Option (Right to Buy) 68.26 2020-12-02 4 M 0 4786 0 D 2029-03-03 Class A Common Stock 4786.0 14802 D Each share of Class B Common Stock is convertible, at any time at the option of the holder, into one (1) share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one (1) share of Class A Common Stock upon the transfer, whether or not for value, to any transferee who is not a "Permitted Transferee", as defined in the Issuer's Restated Certificate of Incorporation in effect as of the date hereof. The shares of Class B Common Stock have no expiration date. Includes 37,789 unvested shares subject to awards of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement for no consideration. Shares of the Issuer's Class A Common Stock will be delivered to the Reporting Person following vesting. Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of RSUs. The Reporting Person did not sell or otherwise dispose of any of the shares with respect to the vesting of RSUs reported on this Form 4 for any reason other than to cover required taxes. Represents an award of RSUs. 1/3rd of the total RSUs will vest on December 1, 2021, and on each yearly anniversary thereafter, subject to the status of "Participant's Service" (as defined in the 2017 Equity Incentive Plan) through each vesting date. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement for no consideration. Shares of the Issuer's Class A Common Stock will be delivered to the Reporting Person following vesting. Includes 50,471 unvested shares subject to awards of RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement for no consideration. Shares of the Issuer's Class A Common Stock will be delivered to the Reporting Person following vesting. Sale of shares made pursuant to and in accordance with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, under a plan adopted by the Reporting Person on March 6, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.15 to $116.26, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.00 to $115.70, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Each RSU represents a contingent right to receive one share of the Issuer's Class B Common Stock upon settlement for no consideration. Vesting and release of RSUs granted to the Reporting Person on November 29, 2016. Each share of Class B Common Stock will convert automatically into one (1) share of Class A Common Stock upon the earliest to occur of the following: (a) the date specified by a vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, (b) March 23, 2027, and (c) the date the shares of Class B Common Stock cease to represent at least 10% of all outstanding shares of Common Stock. The shares of Class A Common Stock and Class B Common Stock have no expiration date. The stock option vests and becomes exercisable as to 1/3rd of the shares subject to the option on December 1, 2021, and thereafter vests as to 1/36th of the total number of shares in equal monthly installments, until such time as the option is 100% vested, subject to the status of "Participant's Service" (as defined in the 2017 Equity Incentive Plan) through each vesting date. The stock option vested and became exercisable as to 1/4th of the shares subject to the option on January 1, 2019, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the status of "Participant's Service" (as defined in the 2017 Equity Incentive Plan) through each vesting date. The stock option vested and became exercisable as to 1/3rd of the shares subject to the option on January 1, 2020, and thereafter vests as to 1/36th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the status of "Participant's Service" (as defined in the 2017 Equity Incentive Plan) through each vesting date. /s/ Christopher M. Lal, by power of attorney 2020-12-02