Sec Form 13G Filing - Harding Edward P. filing for Alteryx Inc. (AYX) - 2019-02-13

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G
 
 
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
 
Alteryx, Inc. 

(Name of Issuer)
 
Class A Common Stock, $0.0001 par value per share

(Title of Class of Securities)
 
02156B103

(CUSIP Number)
 
December 31, 2018

(Date of Event Which Requires Filing of this Statement)
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
     o  Rule 13d-1(b)
 
     o  Rule 13d-1(c)
 
     x  Rule 13d-1(d)
 
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
 
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 


 
 

 
 
CUSIP No.  02156B103      
 
      
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 Harding Edward P., Jr.
   
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 (a)   o
 (b)   o
   
3 SEC USE ONLY
  
  
   
4 CITIZENSHIP OR PLACE OF ORGANIZATION
  
 U.S.A.
    
NUMBER OF SHARES BENEFICIALLY  OWNED BY EACH REPORTING PERSON WITH: 5 SOLE VOTING POWER
  
 448,065 (1)(2)
   
6 SHARED VOTING POWER
  
 0
   
7 SOLE DISPOSITIVE POWER
  
 448,065 (1)(2)
   
8 SHARED DISPOSITIVE POWER
  
 0
   
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  
 448,065 (1)(2)
   
10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
  
 o
   
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
  
 1.17 (3)%
   
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
  
 IN
 
FOOTNOTES
  
 (1) Each share of Class B Common Stock is convertible at any time at the election of the holder into one share of Class A Common Stock.
(2) Consists of (i) 20 shares of Class A Common Stock held by Mr. Harding, (ii) 338,062 shares of Class B Common Stock held by Mr. Harding, (iii) 13,988 shares of Class A Common Stock subject to options held by Mr. Harding that are exercisable within 60 days of December 31, 2018, (iv) 90,942 shares of Class B Common Stock subject to options held by Mr. Harding that are exercisable within 60 days of December 31, 2018, and (v) 5,053 shares of Class A Common Stock issuable upon the settlement of restricted stock units held by Mr. Harding that will vest within 60 days of December 31, 2018.
(3) The percentage reported in row 11 is calculated in accordance with Rule 13d-3 based on the aggregate number of shares of Class B Common Stock beneficially owned by the Reporting Person assuming conversion of such stock into Class A Common Stock (and excluding the conversion of shares of Class B Common Stock held by other persons) and an aggregate of 37,817,085 shares of Class A common stock outstanding as of December 31, 2018, as reported by the Issuer to the Reporting Person, plus the number of shares issuable upon exercise of stock options and upon settlement of restricted stock units held by the Reporting Person, which are treated as converted into common stock only for the purpose of computing the percentage ownership of the Reporting Person.
 
 

 
 
Item 1.

 
(a)
Name of Issuer
 
 
Alteryx, Inc.

 
(b)
Address of Issuer’s Principal Executive Offices
 
 
3345 Michelson Drive, Suite 400
Irvine, CA 92612

Item 2.

 
(a)
Name of Person Filing
 
 
Harding Edward P., Jr.

 
(b)
Address of Principal Business Office or, if none, Residence
 
 
c/o Alteryx, Inc.
3345 Michelson Drive, Suite 400
Irvine, CA 92612

 
(c)
Citizenship
 
 
U.S.A.

 
(d)
Title of Class of Securities
 
 
Class A Common Stock, $0.0001 par value per share

 
(e)
CUSIP Number
 
 
02156B103

 
Item 3.
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 
(a)
o
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 
(b)
o
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 
(c)
o
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 
(d)
o
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

 
(e)
o
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 
(f)
o
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 
(g)
o
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 
(h)
o
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 
(i)
o
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 
(j)
o
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J).

 
(k)
o
A group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:

 
 
 

 
 
Item 4.
Ownership.
 
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 
(a)
Amount beneficially owned: 448,065

 
(b)
Percent of class: 1.17%

 
(c)
Number of shares as to which the person has:

 
(i)
Sole power to vote or to direct the vote: 448,065

 
(ii)
Shared power to vote or to direct the vote: 0

 
(iii)
Sole power to dispose or to direct the disposition of: 448,065

 
(iv)
Shared power to dispose or to direct the disposition of: 0

Item 5.
Ownership of Five Percent or Less of a Class
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following x .
 
1.17%
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person.
 
Not applicable.
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
 
Not applicable.
 
Item 8.
Identification and Classification of Members of the Group
 
Not applicable.
 
Item 9.
Notice of Dissolution of Group
 
Not applicable.
 
 
 

 
 
 
Item 10.
Certification
  
Not applicable.
 
 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
 
  
    
Date: February 13, 2019
By:
/s/  Christopher Lal 
   Name: Christopher Lal 
   Title:  Attorney-in-Fact 
    
 
Footnotes:
Item 4(a): See footnote (1) on the cover page of this schedule.
Items 4(a), 4(c)(i) and 4(c)(iii): See footnote (2) on the cover page of this schedule.
Item 4(b): See footnote (3) on the cover page of this schedule.

Attention:
Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)