SEC Form 4 · accession 0001209191-19-006211

Alteryx, Inc. · AYX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Christopher M Lal

Officer — SVP, GC & Corp. Secretary

Period of report

Jan 29, 2019

Accepted (ET)

Jan 31, 2019 · 5:19 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
Class A Common Stock^F1,F2	Jan 29, 2019	C	1,574	$0.00	A	21,458	D
Class A Common Stock^F3,F2	Jan 29, 2019	S	1,574	$67.71	D	19,884	D
Class A Common Stock^F1,F2	Jan 30, 2019	C	1,183	$0.00	A	21,067	D
Class A Common Stock^F3,F2	Jan 30, 2019	S	1,183	$70.00	D	19,884	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	$9.94	Jan 29, 2019	M	1,574	D	—	Aug 31, 2026	Class B Common Stock	1,574	72,219	D
Class B Common Stock^F1,F5	$0.00	Jan 29, 2019	M	1,574	A	—	—	Class A Common Stock	1,574	1,574	D
Class B Common Stock^F1,F5	$0.00	Jan 29, 2019	C	1,574	D	—	—	Class A Common Stock	1,574	0	D
Stock Option (Right to Buy)^F4	$9.94	Jan 30, 2019	M	1,183	D	—	Aug 31, 2026	Class B Common Stock	1,183	71,036	D
Class B Common Stock^F1,F5	$0.00	Jan 30, 2019	M	1,183	A	—	—	Class A Common Stock	1,183	1,183	D
Class B Common Stock^F1,F5	$0.00	Jan 30, 2019	C	1,183	D	—	—	Class A Common Stock	1,183	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 (i) 10,610 shares subject to an award of 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) 358 shares acquired under the Alteryx, Inc. employee stock purchase plan ("ESPP") on August 14, 2018; (iii) 1,090 shares acquired under the ESPP on February 14, 2018; and (iv) 1,113 shares acquired under the ESPP on August 14, 2017.
F3Sale 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 14, 2018.
F4The stock option vested and became exercisable as to 1/4th of the shares subject to the option on August 8, 2017, 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 continuing employment of the Reporting Person on each vesting date.
F5Each 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.