0001209191-17-063068.txt : 20171130 0001209191-17-063068.hdr.sgml : 20171130 20171130173311 ACCESSION NUMBER: 0001209191-17-063068 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171129 FILED AS OF DATE: 20171130 DATE AS OF CHANGE: 20171130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lal Christopher M CENTRAL INDEX KEY: 0001426395 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38034 FILM NUMBER: 171232034 MAIL ADDRESS: STREET 1: 903 CALLE AMANECER STREET 2: SUITE 100 CITY: SAN CLEMENTE STATE: CA ZIP: 92673 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alteryx, Inc. CENTRAL INDEX KEY: 0001689923 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 900673106 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3345 MICHELSON DRIVE STREET 2: SUITE 400 CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: (888) 836-4274 MAIL ADDRESS: STREET 1: 3345 MICHELSON DRIVE STREET 2: SUITE 400 CITY: IRVINE STATE: CA ZIP: 92612 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-11-29 0 0001689923 Alteryx, Inc. AYX 0001426395 Lal Christopher M C/O ALTERYX, INC. 3345 MICHELSON DRIVE, SUITE 400 IRVINE CA 92612 0 1 0 0 SVP, GC & Corp. Secretary Class A Common Stock 2017-11-29 4 C 0 4375 0.00 A 5488 D Class A Common Stock 2017-11-29 4 F 0 1645 24.79 D 3843 D Restricted Stock Units 0.00 2017-11-29 4 M 0 4375 0.00 D Class B Common Stock 4375 13125 D Class B Common Stock 0.00 2017-11-29 4 M 0 4375 0.00 A Class A Common Stock 4375 4375 D Class B Common Stock 0.00 2017-11-29 4 C 0 4375 0.00 D Class A Common Stock 4375 0 D 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 on this Form 4 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 reported on this Form 4 for any reason other than to cover required taxes. Each Restricted Stock Unit ("RSU") represents a contingent right to receive 1 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. The RSUs were granted with both (a) a liquidity event-based vesting condition and (b) a service-based vesting condition, both of which conditions must be satisfied in order for the RSUs to vest. The liquidity condition was satisfied on September 25, 2017, which was 180 days following the closing of the IPO. The service-based vesting condition was satisfied as to 1/4th of the total RSUs on November 29, 2017, after which 1/4th of the total RSUs will continue to vest annually, subject to continued service through each vesting date. 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. /s/ Christopher M. Lal, by power of attorney 2017-11-30