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. 2)*
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, 2019
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☐ Rule 13d-1(c)
☒ 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 disclosures provided in a prior cover page. |
The information required on 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 |
13G |
Page 2 of 5 Pages |
| 1 | NAMES OF REPORTING PERSONS/I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Dean Stoecker | |||||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
| 3 | SEC USE ONLY
| |||||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION
United States | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 | SOLE VOTING POWER
8,435,571 (1)(2) | ||||
| 6 | SHARED VOTING POWER
0 | |||||
| 7 | SOLE DISPOSITIVE POWER
8,435,571 (1)(2) | |||||
| 8 | SHARED DISPOSITIVE POWER
0 | |||||
| 9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,435,571 (1)(2) | |||||
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐
| |||||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
13.95% (3) | |||||
| 12 | TYPE OF REPORTING PERSON
IN | |||||
| (1) | 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. |
| (2) | Consists of (i) 21,374 shares of Class A common stock held by Mr. Stoecker, (ii) 399,819 shares of Class B common stock held by Mr. Stoecker, (iii) 5,371,155 shares of Class B common stock held of record by The Dean A. Stoecker Trust dated December 16, 2013 (the “Trust”), (iv) 1,097,449 shares of Class B common stock held of record by 4610, LLC, (v) 1,097,449 shares of Class B common stock held of record by Lucy27, LLC, (vi) 76,289 shares of Class B common stock held by TRILY, LLC; (vii) 76,289 shares of Class B common stock held by TAILY, LLC, (viii) 113,727 shares of Class A common stock subject to options held by Mr. Stoecker that are exercisable within 60 days of December 31, 2019, (ix) 29,673 shares of Class A common stock issuable upon the settlement of restricted stock units held by Mr. Stoecker that will vest within 60 days of December 31, 2019, and (x) 152,347 shares of Class B common stock subject to options held by Mr. Stoecker that are exercisable within 60 days of December 31, 2019. Mr. Stoecker is the trustee of the Trust and, therefore, may be deemed to hold sole voting and dispositive power over the shares held by the Trust. Mr. Stoecker also has sole voting and dispositive authority with respect to shares owned by each LLC described above. |
| (3) | The percentage reported in row 11 is calculated in accordance with Rule 13d-3 based on the aggregate number of shares of Class A Common Stock beneficially owned by the Reporting Person, 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 52,051,011 shares of Class A common stock outstanding as of December 31, 2019, as reported by the Issuer to the Reporting Person, plus the number of shares of stock options held by the Reporting Person that are exercisable within 60 days of December 31, 2019, which are treated as converted into common stock only for the purpose of computing the percentage ownership of the Reporting Person. |
|
CUSIP No. 02156B103 |
13G |
Page 3 of 5 Pages |
| Item 1(a) | Name of Issuer: | |||||
| Alteryx, Inc. | ||||||
| Item 1(b) | Address of Issuer’s Principal Executive Offices: | |||||
| 3345 Michelson Drive, Suite 400 | ||||||
| Irvine, California 92612 | ||||||
| Item 2(a) | Name of Person Filing: | |||||
| Dean Stoecker (the “Reporting Person”) | ||||||
| Item 2(b) | Address of Principal Business Office or, If None, Residence | |||||
| c/o Alteryx, Inc. 3345 Michelson Drive, Suite 400 Irvine, California 92612 | ||||||
| Item 2(c) | Citizenship: | |||||
| United States | ||||||
| Item 2(d) | Title of Class of Securities: | |||||
| Class A Common Stock | ||||||
| Item 2(e) | CUSIP Number: | |||||
| 02156B103 | ||||||
| Item 3. | Not applicable. | |||||
| Item 4. | Ownership | |||||
| (a) | Amount Beneficially Owned: | |||||
| See Row 9 of cover page for the Reporting Person. | ||||||
| (b) | Percent of Class: | |||||
| See Row 11 of cover page for the Reporting Person. | ||||||
| (c) | Number of shares as to which the person has: | |||||
| (i) |
Sole power to vote or direct the vote: | |||||
| See Row 5 of cover page for the Reporting Person. | ||||||
| (ii) |
Shared power to vote or direct the vote: | |||||
| See Row 6 of cover page for the Reporting Person. | ||||||
| (iii) |
Sole power to dispose or to direct the disposition of: | |||||
| See Row 7 of cover page for the Reporting Person. | ||||||
| (iv) |
Shared power to dispose or to direct the disposition of: | |||||
| See Row 8 of cover page for the Reporting Person. | ||||||
| Item 5. | Ownership of Five Percent or Less of a Class | |||||
| Not applicable. | ||||||
|
CUSIP No. 02156B103 |
13G |
Page 4 of 5 Pages |
| Item 6. | Ownership of More Than Five Percent on Behalf of Another Person | |||||
| Not applicable. | ||||||
| Item 7. | Identification and Classification of Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person | |||||
| 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. | Certifications | |||||
| Not applicable. | ||||||
|
CUSIP No. 02156B103 |
13G |
Page 5 of 5 Pages |
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.
Dated: February 13, 2020
| By: | /s/ Dean Stoecker | |
| Name: | Dean Stoecker |