0001689923-20-000018.txt : 20200410 0001689923-20-000018.hdr.sgml : 20200410 20200410163050 ACCESSION NUMBER: 0001689923-20-000018 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200408 FILED AS OF DATE: 20200410 DATE AS OF CHANGE: 20200410 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: 20786946 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_158655063102434.xml FORM 4 X0306 4 2020-04-08 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 2020-04-08 4 C 0 13000 0 A 67351 D Class A Common Stock 2020-04-08 4 S 0 9500 90.18 D 57851 D Class A Common Stock 2020-04-08 4 S 0 2900 90.92 D 54951 D Class A Common Stock 2020-04-08 4 S 0 600 91.55 D 54351 D Stock Option (Right to Buy) 9.5 2020-04-08 4 M 0 13000 0 D 2026-04-29 Class B Common Stock 13000.0 13176 D Class B Common Stock 0.0 2020-04-08 4 M 0 13000 0 A Class A Common Stock 13000.0 13000 D Class B Common Stock 0.0 2020-04-08 4 C 0 13000 0 D Class A Common Stock 13000.0 0 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 (i) 37,789 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; and (ii) 190 shares acquired under the Alteryx, Inc. employee stock purchase plan through February 14, 2020. 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 7, 2019. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.50 to $90.49, 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 $90.52 to $91.20, 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 $91.55 to $91.56, 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 stock option vested and became exercisable as to 1/4th of the shares subject to the option on April 4, 2017, 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 continuing employment of the Reporting Person on each vesting 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. /s/ Christopher M. Lal, by power of attorney 2020-04-10