SEC Form 4 · accession 0001140361-17-013806
Alteryx, Inc. · AYX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Nino Nikola Marakovic
10% Owner
Sapphire Ventures Fund I, L.P.
10% Owner
Sapphire Ventures (GPE) I, L.L.C.
10% Owner
Period of report
Mar 29, 2017
Accepted (ET)
Mar 29, 2017 · 5:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001689923
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF1,F4,F2,F3 | — | Mar 29, 2017 | C | 5,491,893 | D | — | — | Class B Common Stock | 5,491,893 | 0 | I |
| Series B Preferred StockF1,F4,F2,F3 | — | Mar 29, 2017 | C | 700,390 | D | — | — | Class B Common Stock | 700,390 | 0 | I |
| Class B Common StockF2,F3,F4 | — | Mar 29, 2017 | C | 6,192,283 | A | — | — | Class A Common Stock | 6,192,283 | 6,192,283 | I |
Explanation of responses
- F1In connection with the consummation of the Issuer's initial public offering (the "IPO") on March 29, 2017, each share of Preferred Stock automatically converted into one (1) share of Class B Common Stock for no additional consideration. All shares of Class B Common Stock issued upon conversion were aggregated.
- F2Each 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, that occurs after the closing of the IPO 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.
- F3Each 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.
- F4Held 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.