SEC Form 4 · accession 0001209191-19-002891
Alteryx, Inc. · AYX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Scott Jones
Officer — Pres. & Chief Revenue Officer
Period of report
Jan 7, 2019
Accepted (ET)
Jan 8, 2019 · 6:24 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 | Jan 7, 2019 | M | 19,184 | $27.09 | A | 44,665 | D | |
| Class A Common StockF2,F3,F1 | Jan 7, 2019 | S | 19,184 | $62.55 | D | 25,481 | 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)F4 | $27.09 | Jan 7, 2019 | M | 19,184 | D | — | Jan 5, 2028 | Class A Common Stock | 19,184 | 57,551 | D |
Explanation of responses
- F1Includes (i) 24,252 shares subject to an award of restricted stock units ("RSUs"), of which 25% of the total RSUs vested on January 1, 2019, and 25% will vest on each anniversary thereafter, subject to the status of "Participant's Service" (as defined in the 2017 Equity Incentive Plan) through each vesting 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; (ii) 897 shares acquired under the Alteryx, Inc. employee stock purchase plan ("ESPP") on February 14, 2018; and (iii) 332 shares acquired under the ESPP on August 14, 2018.
- F2Sale 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 August 14, 2018.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.14 to $63.00, 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.
- F4The stock option vested and became exercisable as to 1/4th of the shares subject to the option on January 1, 2019, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the status of "Participant's Service" (as defined in the 2017 Equity Incentive Plan) through each vesting date.