Filing Details
- Accession Number:
- 0001689923-21-000087
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-10-06 16:04:13
- Reporting Period:
- 2021-10-04
- Accepted Time:
- 2021-10-06 16:04:13
- 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 | 2021-10-04 | 25,000 | $0.00 | 25,000 | No | 4 | C | Indirect | By Lucy27, LLC |
| Class A Common Stock | Disposition | 2021-10-04 | 1,600 | $68.67 | 23,400 | No | 4 | S | Indirect | By Lucy27, LLC |
| Class A Common Stock | Disposition | 2021-10-04 | 600 | $69.77 | 22,800 | No | 4 | S | Indirect | By Lucy27, LLC |
| Class A Common Stock | Disposition | 2021-10-04 | 200 | $70.77 | 22,600 | No | 4 | S | Indirect | By Lucy27, LLC |
| Class A Common Stock | Disposition | 2021-10-04 | 100 | $71.76 | 22,500 | No | 4 | S | Indirect | By Lucy27, LLC |
| Class A Common Stock | Disposition | 2021-10-05 | 900 | $69.75 | 21,600 | No | 4 | S | Indirect | By Lucy27, LLC |
| Class A Common Stock | Disposition | 2021-10-05 | 1,600 | $70.31 | 20,000 | No | 4 | S | Indirect | By Lucy27, LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By Lucy27, LLC |
| No | 4 | S | Indirect | By Lucy27, LLC |
| No | 4 | S | Indirect | By Lucy27, LLC |
| No | 4 | S | Indirect | By Lucy27, LLC |
| No | 4 | S | 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 A Common Stock | Class B Common Stock | Disposition | 2021-10-04 | 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 |
|---|---|---|---|---|---|---|
| 1,012,449 | No | 4 | C | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 93,448 | Direct | |
| Class A Common Stock | 25,000 | Indirect | By The Dean A. Stoecker Trust dated December 16, 2013 |
| 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 | 423,451 | 423,451 | Direct | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 4,698,655 | 4,698,655 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 999,049 | 999,049 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 423,451 | 423,451 | Direct | |
| 4,698,655 | 4,698,655 | Indirect | |
| 999,049 | 999,049 | Indirect |
Footnotes
- Includes 47,498 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 shares owned by the LLC.
- 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 10, 2021.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.28 to $69.15, 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 $69.36 to $70.05, 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 $70.68 to $70.86, 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 $69.06 to $70.04, 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 $70.07 to $70.51, 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 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.
- 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.
Billionaire Hedge Funds
