0001140361-17-035248.txt : 20170912 0001140361-17-035248.hdr.sgml : 20170912 20170912185106 ACCESSION NUMBER: 0001140361-17-035248 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170912 FILED AS OF DATE: 20170912 DATE AS OF CHANGE: 20170912 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MARAKOVIC NINO NIKOLA CENTRAL INDEX KEY: 0001179380 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38034 FILM NUMBER: 171081972 MAIL ADDRESS: STREET 1: 3408 HILLVIEW AVE STREET 2: BLDG 5 CITY: PALO ALTO STATE: CA ZIP: 94304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sapphire Ventures Fund I, L.P. CENTRAL INDEX KEY: 0001503585 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38034 FILM NUMBER: 171081973 BUSINESS ADDRESS: STREET 1: 3408 HILLVIEW AVENUE STREET 2: BLDG 5 CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 650.849.3950 MAIL ADDRESS: STREET 1: 3408 HILLVIEW AVENUE STREET 2: BLDG 5 CITY: PALO ALTO STATE: CA ZIP: 94304 FORMER NAME: FORMER CONFORMED NAME: SAP Ventures Fund I, L.P. DATE OF NAME CHANGE: 20101014 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sapphire Ventures (GPE) I, L.L.C. CENTRAL INDEX KEY: 0001634035 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38034 FILM NUMBER: 171081974 BUSINESS ADDRESS: STREET 1: 3408 HILLVIEW AVENUE STREET 2: BLDG. 5 CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: (650) 849-3950 MAIL ADDRESS: STREET 1: 3408 HILLVIEW AVENUE STREET 2: BLDG. 5 CITY: PALO ALTO STATE: CA ZIP: 94304 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 doc1.xml FORM 4 X0306 4 2017-09-12 0 0001689923 Alteryx, Inc. AYX 0001634035 Sapphire Ventures (GPE) I, L.L.C. 3408 HILLVIEW AVENUE BLDG. 5 PALO ALTO CA 94304 0 0 1 0 0001503585 Sapphire Ventures Fund I, L.P. 3408 HILLVIEW AVENUE BLDG 5 PALO ALTO CA 94304 0 0 1 0 0001179380 MARAKOVIC NINO NIKOLA C/O SAPPHIRE VENTURES 3408 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 Class A Common Stock 2017-09-12 4 C 0 5100000 A 5100000 I By Sapphire Ventures Fund I, L.P. Class A Common Stock 2017-09-12 4 S 0 5100000 20.2406 D 0 I By Sapphire Ventures Fund I, L.P. Class A Common Stock 10714 I See footnote Class B Common Stock 2017-09-12 4 C 0 5100000 D Class A Common Stock 5100000 1092283 I By Sapphire Ventures Fund I, L.P. 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. Held directly by Sapphire Ventures Fund I, L.P. ("Sapphire LP"). Sapphire Ventures (GPE) I, L.L.C. ("Sapphire GP"), is the general partner of Sapphire LP. Nino N. Marakovic, Richard Douglas Higgins, Jayendra Das, David A. Hartwig, and Andreas M. Weiskam, as the managing members of Sapphire GP, may be deemed to share voting and dispositive power over the shares held by Sapphire LP. The managing members disclaim beneficial ownership over such shares, except to the extent of any pecuniary interest therein. Represents an award of restricted stock units ("RSUs"). The RSUs vest as to 100% of the shares at the earlier date of: (i) the Issuer's 2018 Annual Meeting of Stockholders or (ii) March 24, 2018. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement for no consideration. The RSUs are held by Jayendra Das, a director of the Issuer. Mr. Das is a managing member of Sapphire Ventures (GPE) I, L.L.C. ("Sapphire"). Under Sapphire's operating agreement, Mr. Das is deemed to hold the common stock for the benefit of Sapphire, except to the extent of his pecuniary interest therein. Shares of the Issuer's Class A Common Stock will be delivered to Mr. Das following vesting. 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 29, 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. Sapphire Ventures (GPE) I, L.L.C. /s/ Nino Nikola Marakovic as Managing Member 2017-09-12 Sapphire Ventures Fund I, L.P. /s/ Nino Nikola Marakovic, as Managing Member of Sapphire Ventures (GPE) I, L.L.C., its general partner 2017-09-12 /s/ Nino Nikola Marakovic 2017-09-12