Form 4 - Statement of changes in beneficial ownership of securities

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Stoecker Dean

(Last)

(First)

(Middle)

C/O ALTERYX, INC.

17200 LAGUNA CANYON ROAD

(Street)

IRVINE

CA

92618

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Alteryx, Inc. [ AYX ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
02/09/2024

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Class A Common Stock	02/09/2024		G⁽¹⁾		78,547	D	$0	5,520⁽²⁾	D
Class A Common Stock	02/12/2024		G⁽¹⁾		25,000	D	$0	35,000	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock								12,449	I	By TAILY, LLC⁽⁴⁾
Class A Common Stock								10,599	I	By TRILY, LLC⁽⁴⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Class B Common Stock	$0	02/09/2024		G			2,072,530	⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	2,072,530	$0	2,626,125	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class B Common Stock	$0	02/09/2024		G		207,253		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	207,253	$0	207,253	I	By Nead Holdings One, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		207,253		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	207,253	$0	207,253	I	By Nead Holdings Two, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		207,253		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	207,253	$0	207,253	I	By Nead Holdings Three, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		207,253		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	207,253	$0	207,253	I	By Nead Holdings Four, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		207,253		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	207,253	$0	207,253	I	By Nead Holdings Five, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		207,253		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	207,253	$0	207,253	I	By Nead Holdings Six, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		207,253		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	207,253	$0	207,253	I	By Nead Holdings Seven, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		207,253		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	207,253	$0	207,253	I	By Nead Holdings Eight, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		207,253		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	207,253	$0	207,253	I	By Nead Holdings Nine, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		207,253		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	207,253	$0	207,253	I	By Nead Holdings Ten, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G			621,759	⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	621,759	$0	390,690	I	By Lucy27, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		207,253		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	207,253	$0	207,253	I	By Gabalis Holdings One, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		207,253		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	207,253	$0	207,253	I	By Gabalis Holdings Two, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		207,253		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	207,253	$0	207,253	I	By Gabalis Holdings Three, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G			487,496	⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	487,496	$0	207,253	I	By 4610, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		100,000		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	100,000	$0	100,000	I	By Onyx Investments, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		193,748		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	193,748	$0	193,748	I	By Midnight Duck Holdings One, LLC⁽⁴⁾
Class B Common Stock	$0	02/09/2024		G		193,748		⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	193,748	$0	193,748	I	By Midnight Duck Holdings Two, LLC⁽⁴⁾
Class B Common Stock	$0							⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	423,451		423,451	D
Class B Common Stock	$0							⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	100,000		100,000	I	By Hickory Branch Investments, LLC⁽⁴⁾
Class B Common Stock	$0							⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	100,000		100,000	I	By Fairway Place Investments, LLC⁽⁴⁾
Class B Common Stock	$0							⁽⁵⁾⁽⁶⁾	⁽⁵⁾⁽⁶⁾	Class A Common Stock	80,000		80,000	I	By 4610 Holdings, LLC⁽⁴⁾

Explanation of Responses:

1. The Reporting Person made a charitable donation of the Issuer's Class A Common Stock to a nonprofit public benefit corporation, of which the Reporting Person disclaims any and all beneficial ownership.

2. Includes 5,520 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.

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 Reporting Person has sole voting and dispositive authority with respect to the shares owned by the LLC.

5. 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.

6. 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.

Remarks:

	/s/ Christopher M. Lal, by power of attorney	02/13/2024
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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