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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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 control number. | SEC 1474 (9-02) | ||
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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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 2,072,530 | (5)(6) | (5)(6) | Class A Common Stock | 2,072,530 | $ 0 | 2,626,125 | I | By The Dean A. Stoecker Trust dated December 16, 2013 (3) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 207,253 | (5)(6) | (5)(6) | Class A Common Stock | 207,253 | $ 0 | 207,253 | I | By Nead Holdings One, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 207,253 | (5)(6) | (5)(6) | Class A Common Stock | 207,253 | $ 0 | 207,253 | I | By Nead Holdings Two, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 207,253 | (5)(6) | (5)(6) | Class A Common Stock | 207,253 | $ 0 | 207,253 | I | By Nead Holdings Three, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 207,253 | (5)(6) | (5)(6) | Class A Common Stock | 207,253 | $ 0 | 207,253 | I | By Nead Holdings Four, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 207,253 | (5)(6) | (5)(6) | Class A Common Stock | 207,253 | $ 0 | 207,253 | I | By Nead Holdings Five, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 207,253 | (5)(6) | (5)(6) | Class A Common Stock | 207,253 | $ 0 | 207,253 | I | By Nead Holdings Six, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 207,253 | (5)(6) | (5)(6) | Class A Common Stock | 207,253 | $ 0 | 207,253 | I | By Nead Holdings Seven, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 207,253 | (5)(6) | (5)(6) | Class A Common Stock | 207,253 | $ 0 | 207,253 | I | By Nead Holdings Eight, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 207,253 | (5)(6) | (5)(6) | Class A Common Stock | 207,253 | $ 0 | 207,253 | I | By Nead Holdings Nine, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 207,253 | (5)(6) | (5)(6) | Class A Common Stock | 207,253 | $ 0 | 207,253 | I | By Nead Holdings Ten, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 621,759 | (5)(6) | (5)(6) | Class A Common Stock | 621,759 | $ 0 | 390,690 | I | By Lucy27, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 207,253 | (5)(6) | (5)(6) | Class A Common Stock | 207,253 | $ 0 | 207,253 | I | By Gabalis Holdings One, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 207,253 | (5)(6) | (5)(6) | Class A Common Stock | 207,253 | $ 0 | 207,253 | I | By Gabalis Holdings Two, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 207,253 | (5)(6) | (5)(6) | Class A Common Stock | 207,253 | $ 0 | 207,253 | I | By Gabalis Holdings Three, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 487,496 | (5)(6) | (5)(6) | Class A Common Stock | 487,496 | $ 0 | 207,253 | I | By 4610, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 100,000 | (5)(6) | (5)(6) | Class A Common Stock | 100,000 | $ 0 | 100,000 | I | By Onyx Investments, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 193,748 | (5)(6) | (5)(6) | Class A Common Stock | 193,748 | $ 0 | 193,748 | I | By Midnight Duck Holdings One, LLC (4) | |||
| Class B Common Stock | $ 0 | 02/09/2024 | G | 193,748 | (5)(6) | (5)(6) | Class A Common Stock | 193,748 | $ 0 | 193,748 | I | By Midnight Duck Holdings Two, LLC (4) | |||
| Class B Common Stock | $ 0 | (5)(6) | (5)(6) | Class A Common Stock | 423,451 | 423,451 | D | ||||||||
| Class B Common Stock | $ 0 | (5)(6) | (5)(6) | Class A Common Stock | 100,000 | 100,000 | I | By Hickory Branch Investments, LLC (4) | |||||||
| Class B Common Stock | $ 0 | (5)(6) | (5)(6) | Class A Common Stock | 100,000 | 100,000 | I | By Fairway Place Investments, LLC (4) | |||||||
| Class B Common Stock | $ 0 | (5)(6) | (5)(6) | Class A Common Stock | 80,000 | 80,000 | I | By 4610 Holdings, LLC (4) | |||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Stoecker Dean C/O ALTERYX, INC. 17200 LAGUNA CANYON ROAD IRVINE, CA 92618 |
X | X | ||
| /s/ Christopher M. Lal, by power of attorney | 02/13/2024 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | The Reporting Person made a charitable donation of the Issuer's Class A Common Stock to a nonprofit public benefit corporation, of which the Reporting Person disclaims any and all beneficial ownership. |
| (2) | Includes 5,520 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. |
| (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) | The Reporting Person has sole voting and dispositive authority with respect to the shares owned by the LLC. |
| (5) | 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. |
| (6) | 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. |