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Filing Details

Accession Number:: 0001689923-20-000112
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-12-02 19:48:19
Reporting Period:: 2020-11-30

Accepted Time:: 2020-12-02 19:48:19
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
1198529	Kevin Rubin	C/O Alteryx, Inc. 3345 Michelson Drive, Suite 400 Irvine CA 92612	Chief Financial Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Class A Common Stock	Acquisiton	2020-11-30	7,187	$0.00	44,976	No	4	C	Direct
Class A Common Stock	Disposition	2020-11-30	3,564	$119.45	41,412	No	4	F	Direct
Class A Common Stock	Acquisiton	2020-11-30	12,682	$0.00	54,094	No	4	A	Direct
Class A Common Stock	Disposition	2020-12-01	2,938	$116.16	51,156	No	4	S	Direct
Class A Common Stock	Acquisiton	2020-12-02	9,061	$0.00	60,217	No	4	C	Direct
Class A Common Stock	Acquisiton	2020-12-02	4,788	$27.09	65,005	No	4	M	Direct
Class A Common Stock	Acquisiton	2020-12-02	4,786	$68.26	69,791	No	4	M	Direct
Class A Common Stock	Disposition	2020-12-02	18,635	$115.18	51,156	No	4	S	Direct
Class A Common Stock	Disposition	2020-12-02	685	$115.00	50,471	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	C	Direct
No	4	F	Direct
No	4	A	Direct
No	4	S	Direct
No	4	C	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class B Common Stock	Restricted Stock Units	Disposition	2020-11-30	7,187	$0.00	7,187	$0.00
Class A Common Stock	Class B Common Stock	Acquisiton	2020-11-30	7,187	$0.00	7,187	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2020-11-30	7,187	$0.00	7,187	$0.00
Class A Common Stock	Stock Option (Right to Buy)	Acquisiton	2020-11-30	26,963	$0.00	26,963	$119.84
Class B Common Stock	Stock Option (Right to Buy)	Disposition	2020-12-02	9,061	$0.00	9,061	$12.30
Class A Common Stock	Class B Common Stock	Acquisiton	2020-12-02	9,061	$0.00	9,061	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2020-12-02	9,061	$0.00	9,061	$0.00
Class A Common Stock	Stock Option (Right to Buy)	Disposition	2020-12-02	4,788	$0.00	4,788	$27.09
Class A Common Stock	Stock Option (Right to Buy)	Disposition	2020-12-02	4,786	$0.00	4,786	$68.26

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
7,187			No	4	M	Direct
0			No	4	C	Direct
26,963		2030-11-30	No	4	A	Direct
0	2020-11-29	2026-11-28	No	4	M	Direct
9,061			No	4	M	Direct
0			No	4	C	Direct
22,381		2028-01-05	No	4	M	Direct
14,802		2029-03-03	No	4	M	Direct

Footnotes

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.
Includes 37,789 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.
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 50,471 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.
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 March 6, 2020.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.15 to $116.26, 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 $115.00 to $115.70, 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.
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.
The stock option vested and became exercisable as to 1/4th of the shares subject to the option on January 1, 2019, 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) through each vesting date.
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) through each vesting date.