0001209191-18-063013.txt : 20181217 0001209191-18-063013.hdr.sgml : 20181217 20181217175337 ACCESSION NUMBER: 0001209191-18-063013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181214 FILED AS OF DATE: 20181217 DATE AS OF CHANGE: 20181217 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: 181238988 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 2018-12-14 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 2018-12-14 4 C 0 795 0.00 A 22438 D Class A Common Stock 2018-12-14 4 S 0 795 61.48 D 21643 D Stock Option (Right to Buy) 9.94 2018-12-14 4 M 0 795 0.00 D 2026-08-31 Class B Common Stock 795 73793 D Class B Common Stock 0.00 2018-12-14 4 M 0 795 0.00 A Class A Common Stock 795 795 D Class B Common Stock 0.00 2018-12-14 4 C 0 795 0.00 D Class A Common Stock 795 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. Includes (i) 14,147 shares subject to an award of restricted stock units ("RSUs"), of which 1/4th of the total RSUs will vest on January 1, 2019, 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; (ii) 1,090 shares acquired under the Alteryx, Inc. employee stock purchase plan ("ESPP") on February 14, 2018; (iii) 1,113 shares acquired under the ESPP on August 14, 2017; and (iv) 358 shares acquired under ESPP on August 14, 2018. 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 September 14, 2018. The stock option vested and became exercisable as to 1/4th of the shares subject to the option on August 8, 2017, 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 continuing employment of the Reporting Person on 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 2018-12-17