Statement of Changes in Beneficial Ownership (4)
May 14 2021 - 4:23PM
Edgar (US Regulatory)
FORM 4
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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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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
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Stoecker Dean |
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)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ALTERYX, INC., 3345 MICHELSON DRIVE, SUITE 400 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/12/2021 |
(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 | 5/12/2021 | | S | | 6800 (1) | D | $78.27 (2) | 53200 | I | By The Dean A. Stoecker Trust dated December 16, 2013 (3) |
Class A Common Stock | 5/12/2021 | | S | | 700 (1) | D | $78.95 (4) | 52500 | I | By The Dean A. Stoecker Trust dated December 16, 2013 (3) |
Class A Common Stock | 5/13/2021 | | S | | 3000 (1) | D | $74.94 (5) | 49500 | I | By The Dean A. Stoecker Trust dated December 16, 2013 (3) |
Class A Common Stock | 5/13/2021 | | S | | 2200 (1) | D | $76.04 (6) | 47300 | I | By The Dean A. Stoecker Trust dated December 16, 2013 (3) |
Class A Common Stock | 5/13/2021 | | S | | 1100 (1) | D | $76.82 (7) | 46200 | I | By The Dean A. Stoecker Trust dated December 16, 2013 (3) |
Class A Common Stock | 5/13/2021 | | S | | 700 (1) | D | $77.55 (8) | 45500 | I | By The Dean A. Stoecker Trust dated December 16, 2013 (3) |
Class A Common Stock | 5/13/2021 | | S | | 500 (1) | D | $78.93 (9) | 45000 | I | By The Dean A. Stoecker Trust dated December 16, 2013 (3) |
Class A Common Stock | 5/13/2021 | | A | | 2397 (10) | A | $0 (10) | 93448 (11) | D | |
Class A Common Stock | | | | | | | | 12449 | I | By TAILY, LLC (12) |
Class A Common Stock | | | | | | | | 10599 | I | By TRILY, LLC (12) |
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 |
Explanation of Responses: |
(1) | 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 September 3, 2020. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.83 to $78.80, 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. |
(3) | The Reporting Person serves as trustee and beneficiary of The Dean A. Stoecker Trust dated December 16, 2013 (the "Stoecker Trust") and has voting and dispositive authority with respect to the shares owned by the Stoecker Trust. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.82 to $79.11, 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. |
(5) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.32 to $75.31, 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. |
(6) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.38 to $76.33, 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. |
(7) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.38 to $77.36, 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. |
(8) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.41 to $77.73, 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. |
(9) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.55 to $79.11, 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. |
(10) | Represents an annual award of restricted stock units ("RSUs") under the non-employee director compensation policy (the "Annual Award") of Alteryx, Inc. (the "Issuer"). The Annual Award shall fully vest on the earlier of (a) the date of the next annual meeting of the Issuer's stockholders and (b) May 13, 2022, in each case, so long as the 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. |
(11) | Includes 47,498 unvested shares subject to awards of 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. |
(12) | The Reporting Person has sole voting and dispositive authority with respect to shares owned by the LLC. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Stoecker Dean C/O ALTERYX, INC. 3345 MICHELSON DRIVE, SUITE 400 IRVINE, CA 92612 | X | X |
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Signatures
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/s/ Christopher M. Lal, by power of attorney | | 5/14/2021 |
**Signature of Reporting Person | Date |
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