Filing Details
- Accession Number:
- 0001689923-20-000111
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-02 19:45:14
- Reporting Period:
- 2020-11-30
- Accepted Time:
- 2020-12-02 19:45:14
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1689923 | Alteryx Inc. | AYX | Services-Prepackaged Software (7372) | 900673106 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1699950 | Dean Stoecker | C/O Alteryx, Inc. 3345 Michelson Drive, Suite 400 Irvine CA 92612 | Yes | No | Yes | 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 | 2020-11-30 | 3,800 | $0.00 | 25,000 | No | 4 | C | Indirect | By 4610, LLC |
| Class A Common Stock | Disposition | 2020-11-30 | 22,891 | $119.35 | 2,109 | No | 4 | S | Indirect | By 4610, LLC |
| Class A Common Stock | Disposition | 2020-11-30 | 2,109 | $120.05 | 0 | No | 4 | S | Indirect | By 4610, LLC |
| Class A Common Stock | Acquisiton | 2020-11-30 | 25,000 | $0.00 | 25,000 | No | 4 | C | Indirect | By Lucy27, LLC |
| Class A Common Stock | Disposition | 2020-11-30 | 22,886 | $119.35 | 2,114 | No | 4 | S | Indirect | By Lucy27, LLC |
| Class A Common Stock | Disposition | 2020-11-30 | 2,114 | $120.04 | 0 | No | 4 | S | Indirect | By Lucy27, LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By 4610, LLC |
| No | 4 | S | Indirect | By 4610, LLC |
| No | 4 | S | Indirect | By 4610, LLC |
| No | 4 | C | Indirect | By Lucy27, LLC |
| No | 4 | S | Indirect | By Lucy27, LLC |
| No | 4 | S | Indirect | By Lucy27, LLC |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common Stock | Restricted Stock Units | Disposition | 2020-11-30 | 23,437 | $0.00 | 23,437 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-11-30 | 23,437 | $0.00 | 23,437 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-11-30 | 11,621 | $119.45 | 11,621 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-11-30 | 3,800 | $0.00 | 3,800 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-11-30 | 25,000 | $0.00 | 25,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-11-29 | 2020-11-30 | No | 4 | M | Direct |
| 435,072 | No | 4 | M | Direct | ||
| 423,451 | No | 4 | F | Direct | ||
| 999,049 | No | 4 | C | Indirect | ||
| 1,072,449 | No | 4 | C | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 108,428 | Direct | |
| Class A Common Stock | 12,449 | Indirect | By TAILY, LLC |
| Class A Common Stock | 10,599 | Indirect | By TRILY, LLC |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | $0.00 | 5,041,155 | 5,041,155 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 5,041,155 | 5,041,155 | Indirect |
Footnotes
- Includes 82,488 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.
- 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.
- The Reporting Person has sole voting and dispositive authority with respect to the shares owned by the LLC.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.80 to $119.79, 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $119.81 to $120.26, 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $119.80 to $120.25, 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.
- 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.
- 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.
- 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.
Billionaire Hedge Funds
