Form Type: 4

SEC EDGAR Link
Accession Number:0001689923-20-000034
Date:2020-05-07
Issuer: ALTERYX, INC. (AYX)
Original Submission Date:

Reporting Person:

STOECKER DEAN
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 2020-05-07 C 94,600 a $0.00 94,600 indirect f3
CLASS A COMMON STOCK 0 $0.00 108,428 direct
CLASS A COMMON STOCK 0 $0.00 12,449 indirect f3
CLASS A COMMON STOCK 0 $0.00 10,599 indirect f3
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
CLASS B COMMON STOCK 0.0 2020-05-07 deemed execution date C 94,600 (d) class a common stock 94,600 $0.00 1,002,849 indirect by 4610, llc
CLASS B COMMON STOCK 0.0 deemed execution date 0 ( ) class a common stock 411,635 $0.00 411,635 direct
CLASS B COMMON STOCK 0.0 deemed execution date 0 ( ) class a common stock 5,251,155 $0.00 5,251,155 indirect by the dean a. stoecker trust dated december 16, 2013
CLASS B COMMON STOCK 0.0 deemed execution date 0 ( ) class a common stock 1,097,449 $0.00 1,097,449 indirect by lucy27, llc
Footnotes
IDfootnote
f1 includes 82,488 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.
f2 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.
f3 the reporting person has sole voting and dispositive authority with respect to shares owned by the llc.
f4 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.
f5 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.

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