SEC Form 4 · accession 0001209191-17-067142
Alteryx, Inc. · AYX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dean Stoecker
Officer — Chairman of the Board & CEO · Director
Period of report
Dec 11, 2017
Accepted (ET)
Dec 22, 2017 · 7:02 pm EST
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,F2 | Dec 11, 2017 | C | 80,000 | $0.00 | A | 80,000 | I | By DBRA, Limited Partnership |
| Class A Common StockF3,F4,F2 | Dec 20, 2017 | S | 20,000 | $25.94 | D | 60,000 | I | By DBRA, Limited Partnership |
| Class A Common StockF4,F5,F2 | Dec 21, 2017 | S | 20,000 | $25.65 | D | 40,000 | I | By DBRA, Limited Partnership |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF2,F1,F6 | $0.00 | Dec 11, 2017 | C | 80,000 | D | — | — | Class A Common Stock | 80,000 | 8,684,920 | I |
| Class B Common StockF1,F6 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 386,818 | 386,818 | D |
Explanation of responses
- F1Each 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.
- F2The Reporting Person serves as the general partner of DBRA, Limited Partnership ("DBRA"), and pursuant to the provisions of the partnership agreement of DBRA, has voting and dispositive authority with respect to the shares owned by DBRA.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.67 to $26.68, 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.
- F4Sale 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 11, 2017.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.13 to $25.83, 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.
- F6Each 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.