SEC Form 4 · accession 0001209191-18-053240
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
Sep 28, 2018
Accepted (ET)
Oct 2, 2018 · 4:54 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 | Sep 28, 2018 | C | 160,000 | $0.00 | A | 160,000 | 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,F3 | $0.00 | Sep 28, 2018 | C | 160,000 | D | — | — | Class A Common Stock | 160,000 | 7,824,920 | I |
| Class B Common StockF1,F3 | $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.
- 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 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.