Statement of Changes in Beneficial Ownership (4)
April 01 2020 - 7:30PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Jones Robert Scott |
2. Issuer Name and Ticker or Trading Symbol
Alteryx, Inc.
[
AYX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Pres. & Chief Revenue Officer |
(Last)
(First)
(Middle)
C/O ALTERYX, INC., 3345 MICHELSON DRIVE, SUITE 400 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/30/2020 |
(Street)
IRVINE, CA 92612
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 3/30/2020 | | C | | 4167 | A | $0 (1) | 43780 (2) | D | |
Class A Common Stock | 3/30/2020 | | S | | 4167 (3) | D | $93.58 | 39613 (2) | D | |
Class A Common Stock | 4/1/2020 | | M | | 1138 | A | $68.26 | 40751 (2) | D | |
Class A Common Stock | 4/1/2020 | | S | | 1138 (3) | D | $88.70 | 39613 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $13.84 | 3/30/2020 | | M | | | 4167 | (4) | 2/6/2027 | Class B Common Stock | 4167.0 | $0 | 41663 | D | |
Class B Common Stock | $0.0 | 3/30/2020 | | M | | 4167 | | (1)(5) | (1)(5) | Class A Common Stock | 4167.0 | $0 | 4167 | D | |
Class B Common Stock | $0.0 | 3/30/2020 | | C | | | 4167 | (1)(5) | (1)(5) | Class A Common Stock | 4167.0 | $0 | 0 | D | |
Stock Option (Right to Buy) | $68.26 | 4/1/2020 | | M | | | 1138 | (6) | 3/3/2029 | Class A Common Stock | 1138.0 | $0 | 23911 | D | |
Explanation of Responses: |
(1) | Each 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. |
(2) | Includes (i) 39,391 unvested shares subject to awards of restricted stock units ("RSUs"). 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; and (ii) 222 shares acquired under the Alteryx, Inc. employee stock purchase plan through February 14, 2020. |
(3) | Sale 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 May 13, 2019. |
(4) | The stock option vested and became exercisable as to 1/4th of the shares subject to the option on January 30, 2018, 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) on each vesting date. |
(5) | Each 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. |
(6) | The stock option vested and became exercisable as to 1/3rd of the shares subject to the option on January 1, 2020, and thereafter vests as to 1/36th 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) on each vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Jones Robert Scott C/O ALTERYX, INC. 3345 MICHELSON DRIVE, SUITE 400 IRVINE, CA 92612 |
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| Pres. & Chief Revenue Officer |
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Signatures
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/s/ Christopher M. Lal, by power of attorney | | 4/1/2020 |
**Signature of Reporting Person | Date |
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