S-8 1 d330381ds8.htm S-8 S-8

As filed with the Securities and Exchange Commission on March 24, 2017

Registration No. 333-              

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM S-8

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933

 

 

Alteryx, Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   90-0673106

(State or other jurisdiction

of incorporation or organization)

 

(I.R.S. Employer

Identification No.)

Alteryx, Inc.

3345 Michelson Drive, Suite 400

Irvine, California 92612

(Address of Principal Executive Offices) (Zip Code)

Amended and Restated 2013 Stock Plan

2017 Equity Incentive Plan

2017 Employee Stock Purchase Plan

(Full title of the plans)

 

 

Dean A. Stoecker

Chairman of the Board of Directors and Chief Executive Officer

Alteryx, Inc.

3345 Michelson Drive, Suite 400

Irvine, California 92612

(888) 836-4274

(Name, address, including zip code, and telephone number, including area code, of agent for service)

 

 

Please send copies of all communications to:

 

Gordon K. Davidson, Esq.

Michael A Brown, Esq.

William L. Hughes, Esq.

Ran D. Ben-Tzur, Esq.

Fenwick & West LLP

555 California Street, 12th Floor

San Francisco, California 94104

(415) 875-2300

 

Christopher M. Lal, Esq.

Senior Vice President, General Counsel,

and Corporate Secretary

Alteryx, Inc.

3345 Michelson Drive, Suite 400

Irvine, California 92612

(888) 836-4274


 

Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See definitions of “large accelerated filer,” “accelerated filer,” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

 

Large accelerated

filer

      ☐    Accelerated filer               ☐
Non-accelerated filer       ☒   

Smaller reporting

company

              ☐
(Do not check if a smaller reporting company)     

CALCULATION OF REGISTRATION FEE

 

 

Title of Securities

To Be Registered

  Amount To Be
Registered(1)
 

Proposed

Maximum

Offering Price

Per Share

 

Proposed

Maximum
Aggregate Offering
Price

 

Amount of
Registration

Fee

Class A common stock, $0.0001 par value per share

               

- To be issued under the 2017 Equity Incentive Plan

  5,632,410(2)   $14.00(3)   $78,853,740(3)    $9,139

- To be issued under the 2017 Employee Stock Purchase Plan

  1,100,000(4)   11.90(5)   13,090,000(5)    1,517

- Outstanding under the Amended and Restated 2013 Stock Plan

  6,319,408(6)   (7)   (7)  

Class B common stock, $0.0001 par value per share

               

- Outstanding under the Amended and Restated 2013 Stock Plan (Options)

  5,946,283(8)   6.76(9)   40,203,414(9)   4,660

- Outstanding under the Amended and Restated 2013 Stock Plan (RSUs)

  373,125(10)   14.00(3)   5,223,750(3)   605

TOTAL

  19,371,226       $137,370,904   $15,921

 

 

(1) Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement shall also cover any additional shares of the Registrant’s Class A or Class B common stock that become issuable in respect of the securities identified in the above table by reason of any stock dividend, stock split, recapitalization, or other similar transaction effected without the Registrant’s receipt of consideration which results in an increase in the number of the outstanding shares of the Registrant’s Class A or Class B common stock.
(2) Shares of Class A common stock reserved for issuance under the 2017 Equity Incentive Plan (“2017 Plan”) consists of (a) 5,100,000 shares of Class A common stock reserved for issuance under the 2017 Plan and (b) 532,410 shares of Class A common stock previously reserved but unissued under the Amended and Restated 2013 Stock Plan (“2013 Plan”), that are now available for issuance under the 2017 Plan. To the extent outstanding awards under the 2013 Plan are forfeited, lapse unexercised, or would otherwise have been returned to the share reserve under the 2013 Plan, the shares of Class B common stock subject to such awards instead will be available for future issuance as Class A common stock under the 2017 Plan. See footnote 6 below.
(3) Calculated solely for the purposes of this offering under Rule 457(h) of the Securities Act on the basis of the initial public offering price per share of the Registrant’s Class A common stock as set forth in the Registrant’s prospectus filed with the Securities and Exchange Commission on or around March 24, 2017 pursuant to Rule 424(b) under the Securities Act.
(4) Represents shares reserved for issuance under the 2017 Employee Stock Purchase Plan (“Purchase Plan”) as of the date of this Registration Statement.
(5) Calculated solely for the purposes of this offering under Rule 457(h) of the Securities Act on the basis of the initial public offering price per share of the Registrant’s Class A common stock multiplied by 85%, which is the percentage of the price per share applicable to purchases under the Purchase Plan.
(6) Represents shares of Registrant’s Class A common stock reserved for issuance upon conversion of Class B common stock underlying stock options and restricted stock units outstanding under the 2013 Plan as of the date of this Registration Statement. Any shares of Class B common stock that are subject to awards under the 2013 Plan that are forfeited, lapse unexercised, or would otherwise have been returned to the share reserve under the 2013 Plan, instead will be available for issuance as Class A common stock under the 2017 Plan. See footnote 2 above.
(7) Pursuant to Rule 457(i) under the Securities Act, there is no fee associated with the registration of shares of Class A common stock issuable upon conversion of the shares of any Class B common stock (a convertible security) being registered under this Registration Statement because no additional consideration will be received in connection with the conversion of Class B common stock.
(8) Represents shares of Class B common stock reserved for issuance pursuant to stock options outstanding under the 2013 Plan as of the date of this Registration Statement. Any shares of Class B common stock that are subject to stock options under the 2013 Plan that are forfeited, lapse unexercised, or would otherwise have been returned to the share reserve under the 2013 Plan will be available for issuance as Class A common stock under the 2017 Plan. See footnote 2 above.
(9) Calculated solely for the purposes of this offering under Rule 457(h) of the Securities Act on the basis of the weighted average exercise price for stock options outstanding under the 2013 Plan granted by the Registrant as of the date of this Registration Statement.
(10) Represents shares of Class B common stock reserved for issuance pursuant to restricted stock units outstanding under the 2013 Plan as of the date of this Registration Statement. Any shares of Class B common stock that are subject to restricted stock units under the 2013 Plan that are forfeited, lapse unexercised, or would otherwise have been returned to the share reserve under the 2013 Plan will be available for issuance as Class A common stock under the 2017 Plan. See footnote 2 above.

 

 


PART I

Information Required in the Section 10(a) Prospectus

The information called for by Part I of Form S-8 is omitted from this Registration Statement on Form S-8 (the “Registration Statement”) and has been or will be sent or given to participating service providers in accordance with Rule 428 of the Securities Act of 1933, as amended (the “Securities Act”), and the instructions to Form S-8. In accordance with the rules and regulations of the Securities and Exchange Commission (the “Commission”) and the instructions to Form S-8, such documents are not being filed with the Commission either as part of this Registration Statement or as prospectuses or prospectus supplements pursuant to Rule 424 under the Securities Act.

 

 

PART II

Information Required in the Registration Statement

Item 3. Incorporation of Documents by Reference.

The following documents filed by Alteryx, Inc. (the “Registrant”) with the Commission pursuant to the Securities Act and the Securities Exchange Act of 1934, as amended (the “Exchange Act”), are incorporated herein by reference:

 

  (a) the Registrant’s prospectus filed on March 24, 2017 pursuant to Rule 424(b) under the Securities Act relating to the Registration Statement on Form S-1, as amended (Registration No. 333-216237), which contains audited financial statements for the Registrant’s latest fiscal year for which such statements have been filed; and

 

  (b) the description of the Registrant’s Class A common stock contained in the Registrant’s Registration Statement on Form 8-A (Registration No. 001-38034) filed with the Commission on March 16, 2017 under Section 12(b) of the Exchange Act, including any amendments or reports filed for the purpose of updating such description.

All documents filed by the Registrant pursuant to Section 13(a), 13(c), 14, or 15(d) of the Exchange Act subsequent to the filing of this Registration Statement and prior to the filing of a post-effective amendment, which indicates that all securities offered hereby have been sold or which deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference into this Registration Statement and to be a part hereof from the date of filing such documents, except as to specific sections of such documents as set forth therein. Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained in any subsequently filed document, which also is deemed to be incorporated by reference herein, modifies or supersedes such statement.

Item 4. Description of Securities.

Not applicable.

Item 5. Interests of Named Experts and Counsel.

Not applicable.

Item 6. Indemnification of Directors and Officers.

Section 145 of the Delaware General Corporation Law authorizes a court to award, or a corporation’s board of directors to grant, indemnity to directors and officers under certain circumstances and subject to certain limitations. The terms of Section 145 of the Delaware General Corporation Law are sufficiently broad to permit indemnification under certain circumstances for liabilities, including reimbursement of expenses incurred, arising under the Securities Act.

As permitted by the Delaware General Corporation Law, the Registrant’s restated certificate of incorporation to be effective immediately prior to the completion of the Registrant’s initial public offering contains provisions that eliminate the personal liability of its directors for monetary damages for any breach of fiduciary duties as a director, except liability for the following:

 

    any breach of the director’s duty of loyalty to the Registrant or its stockholders;

 

    acts or omissions not in good faith or that involve intentional misconduct or a knowing violation of law;

 

    under Section 174 of the Delaware General Corporation Law (regarding unlawful dividends and stock purchases); or


    any transaction from which the director derived an improper personal benefit.

As permitted by the Delaware General Corporation Law, the Registrant’s restated bylaws to be effective immediately prior to the completion of the Registrant’s initial public offering, provide that:

 

    the Registrant is required to indemnify its directors and officers to the fullest extent permitted by the Delaware General Corporation Law, subject to very limited exceptions;

 

    the Registrant may indemnify its other employees and agents as set forth in the Delaware General Corporation Law;

 

    the Registrant is required to advance expenses, as incurred, to its directors and officers in connection with a legal proceeding to the fullest extent permitted by the Delaware General Corporation Law, subject to very limited exceptions; and

 

    the rights conferred in the restated bylaws are not exclusive.

The Registrant has entered into indemnification agreements with each of its current directors and executive officers to provide these directors and executive officers additional contractual assurances regarding the scope of the indemnification set forth in the Registrant’s restated certificate of incorporation and restated bylaws and to provide additional procedural protections. The indemnification provisions in the Registrant’s restated certificate of incorporation, restated bylaws, and the indemnification agreements entered into between the Registrant and each of its directors and executive officers may be sufficiently broad to permit indemnification of the Registrant’s directors and executive officers for liabilities arising under the Securities Act.

The Registrant currently carries liability insurance for its directors and officers.

Reference is also made to the Underwriting Agreement filed with the Form S-1 for the Registrant’s initial public offering, which provides for the indemnification of officers, directors, and controlling persons of the Registrant against certain liabilities.

See also the undertakings set out in response to Item 9 of this Registration Statement.

Item 7. Exemption from Registration Claimed.

Not applicable.

Item 8. Exhibits.

The following exhibits are filed herewith:

 

 Exhibit

 Number

  

 Exhibit Description

  Incorporated by Reference    Filed
  Herewith  
       Form      File No.      Exhibit        Filing Date     
 4.1   

Form of Fifth Amended and Restated Certificate of Incorporation, as currently in effect.

  S-1    333-216237    3.1    2/24/2017   
 4.2   

Form of Restated Certificate of Incorporation, to be effective upon the completion of the Registrant’s initial public offering.

  S-1    333-216237    3.2    2/24/2017   
 4.3   

Bylaws, as currently in effect.

  S-1/A    333-216237    3.3    3/13/2017   
 4.4   

Form of Restated Bylaws, to be effective upon the completion of the Registrant’s initial public offering.

  S-1    333-216237    3.4    2/24/2017   
 4.5   

Form of Class A Common Stock Certificate of the Registrant.

  S-1/A    333-216237    4.1    3/13/2017   
 4.6   

Amended and Restated 2013 Stock Plan and forms of award agreements.

  S-1    333-216237    10.2    2/24/2017   
 4.7   

2017 Equity Incentive Plan and forms of award agreements.

  S-1    333-216237    10.3    2/24/2017   


4.8    2017 Employee Stock Purchase Plan and form of subscription agreement.   S-1    333-216237    10.4    2/24/2017   
5.1    Opinion of Fenwick & West LLP.               X
23.1    Consent of PricewaterhouseCoopers LLP, independent registered public accounting firm.               X
23.2    Consent of Fenwick & West LLP (included in Exhibit 5.1).               X
24.1    Power of Attorney (included on the signature page of this Registration Statement).               X


Item 9. Undertakings.

A. The undersigned Registrant hereby undertakes:

(1) to file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement:

(i) to include any prospectus required by Section 10(a)(3) of the Securities Act;

(ii) to reflect in the prospectus any facts or events arising after the effective date of the Registration Statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in this Registration Statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than a 20% change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective Registration Statement; and

(iii) to include any material information with respect to the plan of distribution not previously disclosed in the Registration Statement or any material change to such information in the Registration Statement;

provided, however, that clauses (A)(1)(i) and (A)(1)(ii) above shall not apply if the information required to be included in a post-effective amendment by those clauses is contained in periodic reports filed with or furnished to the Commission by the Registrant pursuant to Section 13 or Section 15(d) of the Exchange Act that are incorporated by reference in this Registration Statement;

(2) that, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof; and

(3) to remove from registration by means of a post-effective amendment any of the securities being registered that remain unsold at the termination of the offering.

B. The undersigned Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the Registrant’s annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to section 15(d) of the Exchange Act) that is incorporated by reference into this Registration Statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.

C. Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer, or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer, or controlling person in connection with the securities being registered hereby, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.


SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Irvine, State of California, on this 24th day of March, 2017.

 

ALTERYX, INC.
By:  

      /s/ Dean A. Stoecker

 

      Dean A. Stoecker

      Chairman of the Board of Directors and

      Chief Executive Officer

POWER OF ATTORNEY

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Dean A. Stoecker and Kevin Rubin, and each of them, as his or her true and lawful attorney-in-fact and agent with the full power of substitution, for him or her in any and all capacities, to sign any and all amendments to this registration statement (including post-effective amendments to this Registration Statement on Form S-8), and to file the same, with all exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith, as fully for all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or his or her substitutes, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed by the following persons on behalf of the Registrant in the capacities and on the dates indicated.

 

 

Signature    Title   Date

/s/ Dean A. Stoecker

Dean A. Stoecker

  

Chairman of the Board of Directors and Chief

Executive Officer

(Principal Executive Officer)

  March 24, 2017

/s/ Kevin Rubin

Kevin Rubin

  

Chief Financial Officer

(Principal Financial and Accounting Officer)

  March 24, 2017

/s/ Kimberly E. Alexy

Kimberly E. Alexy

   Director   March 24, 2017

/s/ John Bellizzi

   Director   March 24, 2017
John Bellizzi     

/s/ Charles R. Cory

Charles R. Cory

   Director   March 24, 2017

/s/ Jayendra Das

Jayendra Das

   Director   March 24, 2017


Signature    Title   Date

/s/ Douglas F. Garn

Douglas F. Garn

  

Director

 

March 24, 2017

    

/s/ Jeffrey L. Horing

Jeffrey L. Horing

   Director   March 24, 2017

/s/ Timothy I. Maudlin

Timothy I. Maudlin

   Director   March 24, 2017


EXHIBIT INDEX

 

 Exhibit

 Number

  

 Exhibit Description

  Incorporated by Reference    Filed
  Herewith  
       Form        File No.        Exhibit        Filing Date     
 4.1   

Fifth Amended and Restated Certificate of Incorporation, as currently in effect.

  S-1    333-216237    3.1    2/24/2017   
 4.2   

Form of Restated Certificate of Incorporation, to be effective immediately prior to the completion of the Registrant’s public offering.

  S-1    333-216237    3.2    2/24/2017   
 4.3   

Bylaws, as currently in effect.

  S-1/A    333-216237    3.3    3/13/2017   
 4.4   

Form of Restated Bylaws, to be effective immediately prior to the completion of the Registrant’s public offering.

  S-1    333-216237    3.4    2/24/2017   
 4.5   

Form of Class A Common Stock Certificate of the Registrant.

  S-1/A    333-216237    4.1    3/13/2017   
 4.6   

Amended and Restated 2013 Stock Plan, as amended, and forms of award agreements.

  S-1    333-216237    10.2    2/24/2017   
 4.7   

2017 Equity Incentive Plan and forms of award agreements.

  S-1    333-216237    10.3    2/24/2017   
 4.8   

2017 Employee Stock Purchase Plan.

  S-1    333-216237    10.4    2/24/2017   
 5.1   

Opinion of Fenwick & West LLP.

              X
 23.1   

Consent of PricewaterhouseCoopers LLP, independent registered public accounting firm.

              X
 23.2   

Consent of Fenwick & West LLP (included in Exhibit 5.1).

              X
 24.1   

Power of Attorney (included on the signature page of this Registration Statement).

              X