Form Type: 4

SEC EDGAR Link
Accession Number:0001689923-20-000066
Date:2020-07-30
Issuer: ALTERYX, INC. (AYX)
Original Submission Date:

Reporting Person:

JONES ROBERT SCOTT
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 2020-07-30 C 4,166 a $0.00 43,557 direct
CLASS A COMMON STOCK 2020-07-30 S 4,166 d $168.17 39,391 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) 13.84 2020-07-30 deemed execution date M 4,166 (d) 2027-02-06 class b common stock 4,166 $13.84 24,998 direct
CLASS B COMMON STOCK 0.0 2020-07-30 deemed execution date M 4,166 (a) class a common stock 4,166 $0.00 4,166 direct
CLASS B COMMON STOCK 0.0 2020-07-30 deemed execution date C 4,166 (d) class a common stock 4,166 $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 39,391 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.
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 february 25, 2020.
f4 the stock option vested and became exercisable as to 1/4th of the shares subject to the option on january 30, 2018, 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) on each vesting date.
f5 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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