Dean Stoecker Form 4 Alteryx / Dean Stoecker ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Stoecker Dean

(Last)

(First)

(Middle)

C/O ALTERYX, INC.

3345 MICHELSON DRIVE, SUITE 400

(Street)

IRVINE

92612

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Alteryx, Inc. [ AYX ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
Chairman of the Board & CEO

3. Date of Earliest Transaction (Month/Day/Year)
07/13/2020

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Class A Common Stock								108,428⁽¹⁾	D
Class A Common Stock	07/13/2020		C		30,000	A	$0⁽²⁾	30,000	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		500	D	$160.22⁽⁴⁾⁽⁵⁾	29,500	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		2,021	D	$161.47⁽⁴⁾⁽⁶⁾	27,479	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		1,000	D	$162.53⁽⁴⁾⁽⁷⁾	26,479	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		300	D	$163.54⁽⁴⁾⁽⁸⁾	26,179	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		900	D	$165.2⁽⁴⁾⁽⁹⁾	25,279	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		800	D	$166.21⁽⁴⁾⁽¹⁰⁾	24,479	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		1,500	D	$167.26⁽⁴⁾⁽¹¹⁾	22,979	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		300	D	$168.11⁽⁴⁾⁽¹²⁾	22,679	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		314	D	$169.04⁽⁴⁾⁽¹³⁾	22,365	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		700	D	$170.28⁽⁴⁾⁽¹⁴⁾	21,665	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		1,800	D	$171.45⁽⁴⁾⁽¹⁵⁾	19,865	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		1,600	D	$172.26⁽⁴⁾⁽¹⁶⁾	18,265	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		2,800	D	$173.62⁽⁴⁾⁽¹⁷⁾	15,465	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		8,534	D	$174.54⁽⁴⁾⁽¹⁸⁾	6,931	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		1,973	D	$175.51⁽⁴⁾⁽¹⁹⁾	4,958	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		856	D	$176.81⁽⁴⁾⁽²⁰⁾	4,102	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		2,200	D	$178⁽⁴⁾⁽²¹⁾	1,902	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		1,602	D	$178.8⁽⁴⁾⁽²²⁾	300	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock	07/13/2020		S		300	D	$179.62⁽⁴⁾⁽²³⁾	0	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class A Common Stock								12,449	I	By TAILY, LLC⁽²⁴⁾
Class A Common Stock								10,599	I	By TRILY, LLC⁽²⁴⁾
Class A Common Stock								21,200	I	By 4610, LLC⁽²⁴⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Class B Common Stock	$0.0							⁽²⁾⁽²⁵⁾	⁽²⁾⁽²⁵⁾	Class A Common Stock	411,635		411,635	D
Class B Common Stock	$0.0	07/13/2020		C			30,000	⁽²⁾⁽²⁵⁾	⁽²⁾⁽²⁵⁾	Class A Common Stock	30,000	$0	5,161,155	I	By The Dean A. Stoecker Trust dated December 16, 2013⁽³⁾
Class B Common Stock	$0.0							⁽²⁾⁽²⁵⁾	⁽²⁾⁽²⁵⁾	Class A Common Stock	1,002,849		1,002,849	I	By 4610, LLC⁽²⁴⁾
Class B Common Stock	$0.0							⁽²⁾⁽²⁵⁾	⁽²⁾⁽²⁵⁾	Class A Common Stock	1,097,449		1,097,449	I	By Lucy27, LLC⁽²⁴⁾

Explanation of Responses:

1. 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.

2. 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.

3. 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.

4. 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 3, 2019.

5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $160.03 to $160.72, 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.

6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.14 to $161.80 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.

7. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $162.23 to $162.99, 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.

8. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.28 to $163.93, 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.

9. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $164.76 to $165.75, 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.

10. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $165.79 to $166.77, 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.

11. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $166.82 to $167.65, 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.

12. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $167.90 to $168.39, 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.

13. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.91 to $169.85, 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.

14. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.94 to $170.59, 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.

15. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.96 to $171.95, 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.

16. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $171.98 to $172.69, 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.

17. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $173.09 to $174.08, 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.

18. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $174.09 to $175.07, 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.

19. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.15 to $176.14, 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.

20. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.26 to $177.21, 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.

21. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $177.42 to $178.31, 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.

22. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.49 to $179.15, 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.

23. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.49 to $179.75, 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.

24. The Reporting Person has sole voting and dispositive authority with respect to shares owned by the LLC.

25. 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.

Remarks:

	/s/ Christopher M. Lal, by power of attorney	07/15/2020
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Dean Stoecker Form 4Alteryx / Dean Stoecker ownership change