SEC Form 4 · accession 0001209191-18-048821
Alteryx, Inc. · AYX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy I Maudlin
Director
Period of report
Aug 27, 2018
Accepted (ET)
Aug 29, 2018 · 5:01 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,F2 | Aug 27, 2018 | C | 9,286 | $0.00 | A | 24,095 | D | |
| Class A Common StockF3,F2 | Aug 27, 2018 | S | 20,000 | $55.67 | D | 4,095 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $11.88 | Aug 27, 2018 | M | 9,286 | D | Jan 5, 2018 | Dec 19, 2025 | Class B Common Stock | 9,286 | 123,370 | D |
| Class B Common StockF1,F4 | $0.00 | Aug 27, 2018 | M | 9,286 | A | — | — | Class A Common Stock | 9,286 | 9,286 | D |
| Class B Common StockF1,F4 | $0.00 | Aug 27, 2018 | C | 9,286 | D | — | — | Class A Common Stock | 9,286 | 0 | 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.
- F2Includes 4,095 shares subject to an award of restricted stock units which shall fully vest on the earlier of (a) the date of the next annual meeting of the Issuer's stockholders and (b) June 13, 2019, in each case, so long as the non-employee director continues to provide services to the Issuer through such date. 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.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.50 to $56.10, 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.
- F4Each 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.