0001689923-21-000017.txt : 20210202 0001689923-21-000017.hdr.sgml : 20210202 20210202165353 ACCESSION NUMBER: 0001689923-21-000017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210201 FILED AS OF DATE: 20210202 DATE AS OF CHANGE: 20210202 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: 21582295 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_161230279488383.xml FORM 4 X0306 4 2021-02-01 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 2021-02-01 4 C 0 1000 0 A 41821 D Class A Common Stock 2021-02-01 4 M 0 1600 27.09 A 43421 D Class A Common Stock 2021-02-01 4 M 0 1100 68.26 A 44521 D Class A Common Stock 2021-02-01 4 S 0 5950 126.68 D 38571 D Stock Option (Right to Buy) 12.3 2021-02-01 4 M 0 1000 0 D 2020-11-29 2026-11-28 Class B Common Stock 1000.0 4863 D Class B Common Stock 0.0 2021-02-01 4 M 0 1000 0 A Class A Common Stock 1000.0 1000 D Class B Common Stock 0.0 2021-02-01 4 C 0 1000 0 D Class A Common Stock 1000.0 0 D Stock Option (Right to Buy) 27.09 2021-02-01 4 M 0 1600 0 D 2028-01-05 Class A Common Stock 1600.0 22369 D Stock Option (Right to Buy) 68.26 2021-02-01 4 M 0 1100 0 D 2029-03-03 Class A Common Stock 1100.0 16288 D Includes 33,208 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. 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. 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. 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 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 2021-02-02