SEC Form 4/A · accession 0000899243-17-009598
Alteryx, Inc. · AYX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
ICONIQ STRATEGIC PARTNERS II-B, L.P.
10% Owner
ICONIQ STRATEGIC PARTNERS II, L.P.
10% Owner
William J.G. Griffith
10% Owner
Divesh Makan
10% Owner
Period of report
Mar 29, 2017
Accepted (ET)
Apr 5, 2017 · 8:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001689923
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F6 | Mar 29, 2017 | P | 378,618 | $14.00 | A | 378,618 | D | |
| Class A Common StockF2,F6 | Mar 29, 2017 | P | 296,382 | $14.00 | A | 296,382 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Preferred StockF3,F5,F1,F6 | — | Mar 29, 2017 | C | 621,660 | D | — | — | Class B Common Stock | 621,660 | 0 | D |
| Series C Preferred StockF3,F5,F2,F6 | — | Mar 29, 2017 | C | 486,634 | D | — | — | Class B Common Stock | 486,634 | 0 | D |
| Series C Preferred StockF3,F5,F4,F6 | — | Mar 29, 2017 | C | 721,437 | D | — | — | Class B Common Stock | 721,437 | 0 | D |
| Class B Common StockF5,F1,F6 | — | Mar 29, 2017 | C | 621,660 | A | — | — | Class A Common Stock | 621,660 | 907,480 | D |
| Class B Common StockF5,F2,F6 | — | Mar 29, 2017 | C | 486,634 | A | — | — | Class A Common Stock | 486,634 | 710,373 | D |
| Class B Common StockF5,F4,F6 | — | Mar 29, 2017 | C | 721,437 | A | — | — | Class A Common Stock | 721,437 | 1,053,132 | D |
Explanation of responses
- F1ICONIQ Strategic Partners II, L.P ("ICONIQ II") is the direct owner of these securities.
- F2ICONIQ Strategic Partners II-B, L.P. ("ICONIQ II-B") is the direct owner of these securities.
- F3Each share of Series C Preferred Stock automatically converted into one (1) share of Class B Common Stock immediately prior to the consummation of the Issuer's initial public offering on March 29, 2017. The shares of Series C Preferred Stock had no expiration date.
- F4ICONIQ Strategic Partners II Co-Invest, L.P., AX Series ("ICONIQ II Co-Invest, AX Series") is the direct owner of these securities.
- F5Each 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 and 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 Certificate of Incorporation. In addition, 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 B Common Stock have no expiration date.
- F6ICONIQ Strategic Partners II GP, L.P. ("ICONIQ GP"), is the general partner of each of ICONIQ II, ICONIQ II-B and ICONIQ II Co-Invest, AX Series. ICONIQ Strategic Partners II TT GP, Ltd. ("ICONIQ Parent GP") is the general partner of ICONIQ GP. Divesh Makan and William Griffith are the sole equity holders and directors of ICONIQ Parent GP. Each of ICONIQ GP, ICONIQ Parent GP, Divesh Makan and William Griffith disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
Remarks
This Form 4 is being filed to amend the Form 4 filed on 3/31/2017 to include all Reporting Persons. Exhibit 99.1 - Joint Filers' Names and Addresses