Filing Details
- Accession Number:
- 0001689923-20-000106
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-01 20:14:39
- Reporting Period:
- 2020-11-27
- Accepted Time:
- 2020-12-01 20:14:39
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1689923 | Alteryx Inc. | AYX | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1426395 | M Christopher Lal | C/O Alteryx, Inc. 3345 Michelson Drive, Suite 400 Irvine CA 92612 | Clo & Corp. Secretary | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2020-11-27 | 320 | $68.26 | 20,034 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2020-11-27 | 320 | $120.00 | 19,714 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2020-11-30 | 4,375 | $0.00 | 24,089 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2020-11-30 | 2,170 | $119.45 | 21,919 | No | 4 | F | Direct | |
| Class A Common Stock | Acquisiton | 2020-11-30 | 13,578 | $0.00 | 35,497 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2020-11-30 | 8,454 | $0.00 | 43,951 | No | 4 | A | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | C | Direct | |
| No | 4 | F | Direct | |
| No | 4 | C | Direct | |
| No | 4 | A | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-27 | 320 | $0.00 | 320 | $68.26 |
| Class B Common Stock | Restricted Stock Units | Disposition | 2020-11-30 | 4,375 | $0.00 | 4,375 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-11-30 | 4,375 | $0.00 | 4,375 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-11-30 | 4,375 | $0.00 | 4,375 | $0.00 |
| Class B Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-30 | 13,578 | $0.00 | 13,578 | $9.94 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-11-30 | 13,578 | $0.00 | 13,578 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-11-30 | 13,578 | $0.00 | 13,578 | $0.00 |
| Class A Common Stock | Class A Common Stock | Acquisiton | 2020-11-30 | 17,975 | $0.00 | 17,975 | $119.84 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 7,686 | 2029-03-03 | No | 4 | M | Direct | |
| 0 | 2020-11-29 | 2020-11-30 | No | 4 | M | Direct |
| 4,375 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | 2020-04-08 | 2026-08-31 | No | 4 | M | Direct |
| 13,578 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 17,975 | 2030-11-30 | No | 4 | A | Direct |
Footnotes
- Includes (i) 19,369 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) 345 shares acquired under the Alteryx, Inc. employee stock purchase plan through February 14, 2020.
- 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 June 15, 2020.
- 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.
- Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of RSUs. The Reporting Person did not sell or otherwise dispose of any of the shares with respect to the vesting of RSUs reported on this Form 4 for any reason other than to cover required taxes.
- Represents an award of RSUs. 1/3rd of the total RSUs will vest on December 1, 2021, and on each yearly 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.
- Includes (i) 27,823 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; and (ii) 345 shares acquired under the Alteryx, Inc. employee stock purchase plan through February 14, 2020.
- 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 continuing employment of the Reporting Person on each vesting date.
- Each RSU represents a contingent right to receive one share of the Issuer's Class B Common Stock upon settlement for no consideration.
- Vesting and release of RSUs granted to the Reporting Person on November 29, 2016.
- 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.
- The stock option vests and becomes exercisable as to 1/3rd of the shares subject to the option on December 1, 2021, and thereafter vests as to 1/36th of the total number of 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.
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