Form Type: 4

SEC EDGAR Link
Acccession Number:0001689923-20-000018
Date:2020-04-08
Issuer: ALTERYX, INC. (AYX)
Original Submission Date:

Reporting Person:

RUBIN KEVIN
C/O ALTERYX, INC.
3345 MICHELSON DRIVE, SUITE 400 IRVINE, CA 92612

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON STOCK 2020-04-08 C 13,000 a $0.00 67,351 direct
CLASS A COMMON STOCK 2020-04-08 S 9,500 d $90.18 57,851 direct
CLASS A COMMON STOCK 2020-04-08 S 2,900 d $90.92 54,951 direct
CLASS A COMMON STOCK 2020-04-08 S 600 d $91.55 54,351 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 9.5 2020-04-08 deemed execution date M 13,000 (d) 2026-04-29 class b common stock 13,000 $9.50 13,176 direct
CLASS B COMMON STOCK 0.0 2020-04-08 deemed execution date M 13,000 (a) class a common stock 13,000 $0.00 13,000 direct
CLASS B COMMON STOCK 0.0 2020-04-08 deemed execution date C 13,000 (d) class a common stock 13,000 $0.00 0 direct
Footnotes
IDfootnote
f1 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.
f2 includes (i) 37,789 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; and (ii) 190 shares acquired under the alteryx, inc. employee stock purchase plan through february 14, 2020.
f3 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 7, 2019.
f4 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $89.50 to $90.49, 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.
f5 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $90.52 to $91.20, 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.
f6 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $91.55 to $91.56, 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.
f7 the stock option vested and became exercisable as to 1/4th of the shares subject to the option on april 4, 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.
f8 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.

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