0001689923-20-000060.txt : 20200617 0001689923-20-000060.hdr.sgml : 20200617 20200617161841 ACCESSION NUMBER: 0001689923-20-000060 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200615 FILED AS OF DATE: 20200617 DATE AS OF CHANGE: 20200617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stoecker Dean CENTRAL INDEX KEY: 0001699950 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38034 FILM NUMBER: 20969946 MAIL ADDRESS: STREET 1: C/O ALTERYX, INC. STREET 2: 3345 MICHELSON DRIVE, SUITE 400 CITY: IRVINE STATE: CA ZIP: 92612 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_159242509767359.xml FORM 4 X0306 4 2020-06-15 0 0001689923 Alteryx, Inc. AYX 0001699950 Stoecker Dean C/O ALTERYX, INC. 3345 MICHELSON DRIVE, SUITE 400 IRVINE CA 92612 1 1 1 0 Chairman of the Board & CEO Class A Common Stock 108428 D Class A Common Stock 2020-06-15 4 C 0 30000 0 A 30000 I By The Dean A. Stoecker Trust dated December 16, 2013 Class A Common Stock 2020-06-15 4 S 0 900 137.79 D 29100 I By The Dean A. Stoecker Trust dated December 16, 2013 Class A Common Stock 2020-06-15 4 S 0 200 138.66 D 28900 I By The Dean A. Stoecker Trust dated December 16, 2013 Class A Common Stock 2020-06-15 4 S 0 1000 139.58 D 27900 I By The Dean A. Stoecker Trust dated December 16, 2013 Class A Common Stock 2020-06-15 4 S 0 2017 140.51 D 25883 I By The Dean A. Stoecker Trust dated December 16, 2013 Class A Common Stock 2020-06-15 4 S 0 5900 141.64 D 19983 I By The Dean A. Stoecker Trust dated December 16, 2013 Class A Common Stock 2020-06-15 4 S 0 15976 142.46 D 4007 I By The Dean A. Stoecker Trust dated December 16, 2013 Class A Common Stock 2020-06-15 4 S 0 3907 143.25 D 100 I By The Dean A. Stoecker Trust dated December 16, 2013 Class A Common Stock 2020-06-15 4 S 0 100 144.29 D 0 I By The Dean A. Stoecker Trust dated December 16, 2013 Class A Common Stock 12449 I By TAILY, LLC Class A Common Stock 10599 I By TRILY, LLC Class A Common Stock 21200 I By 4610, LLC Class B Common Stock 0.0 Class A Common Stock 411635.0 411635 D Class B Common Stock 0.0 2020-06-15 4 C 0 30000 0 D Class A Common Stock 30000.0 5191155 I By The Dean A. Stoecker Trust dated December 16, 2013 Class B Common Stock 0.0 Class A Common Stock 1002849.0 1002849 I By 4610, LLC Class B Common Stock 0.0 Class A Common Stock 1097449.0 1097449 I By Lucy27, LLC Includes 82,488 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. 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. The Reporting Person serves as trustee and beneficiary of The Dean A. Stoecker Trust dated December 16, 2013 (the "Stoecker Trust") and has voting and dispositive authority with respect to the shares owned by the Stoecker Trust. 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 September 3, 2019. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $137.49 to $137.94, 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 $138.49 to $138.83 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 $138.93 to $139.92, 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 $139.96 to $140.93, 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 $141.07 to $142.04, 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 $142.07 to $143.05, 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 $143.08 to $143.64, 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 Reporting Person has sole voting and dispositive authority with respect to shares owned by the LLC. 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 2020-06-17