Filing Details
- Accession Number:
- 0001689923-20-000113
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2020-12-07 20:39:21
- Reporting Period:
- 2020-12-02
- Accepted Time:
- 2020-12-07 20:39:21
- Original Submission Date:
- 2020-12-02
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1689923 | Alteryx Inc. | AYX | () | 4/A |
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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2020-12-02 | 2,198 | $0.00 | 52,669 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2020-12-02 | 1,600 | $27.09 | 54,269 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2020-12-02 | 1,100 | $68.26 | 55,369 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2020-12-02 | 4,898 | $115.18 | 50,471 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common Stock | Stock Option (Right to Buy) | Disposition | 2020-12-02 | 2,198 | $0.00 | 2,198 | $12.30 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-12-02 | 2,198 | $0.00 | 2,198 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-12-02 | 2,198 | $0.00 | 2,198 | $0.00 |
| Class A Common Stock | Stock Option (Right to Buy) | Disposition | 2020-12-02 | 1,600 | $0.00 | 1,600 | $27.09 |
| Class A Common Stock | Stock Option (Right to Buy) | Disposition | 2020-12-02 | 1,100 | $0.00 | 1,100 | $68.26 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,863 | 2020-11-29 | 2026-11-28 | No | 4 | M | Direct |
| 2,198 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 25,569 | 2028-01-05 | No | 4 | M | Direct | |
| 18,488 | 2029-03-03 | No | 4 | M | Direct |
Footnotes
- Includes 50,471 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.
- 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.
- This amended Form 4 is being filed solely to correct the number of shares exercised and sold due to a broker reporting error.
- 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.
- 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 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.
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