Sec Form 13G Filing - Stoecker Dean filing for Alteryx Inc. (AYX) - 2022-02-11

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.

  NAMES OF REPORTING PERSONS/I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

  Dean Stoecker

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

  SEC USE ONLY

  CITIZENSHIP OR PLACE OF ORGANIZATION

  United States

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  7,736,020 (1)(2)

  SHARED VOTING POWER

  0

  SOLE DISPOSITIVE POWER

  7,736,020 (1)(2)

  SHARED DISPOSITIVE POWER

  0

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  7,736,020 (1)(2)

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

  ☐

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

  11.37% (3)

  TYPE OF REPORTING PERSON

  IN

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.

Consists of (i) 45,950 shares of Class A Common Stock held by Mr. Stoecker; (ii) 25,000 shares of Class A Common Stock held of record by The Dean A. Stoecker Trust dated December 16, 2013 (the “Trust”); (iii) 12,449 shares of Class A Common Stock held by TAILY, LLC; (iv) 10,599 shares of Class A Common Stock held by TRILY, LLC; (v) 423,451 shares of Class B Common Stock held by Mr. Stoecker; (vi) 4,698,655 shares of Class B Common Stock held of record by the Trust; (vii) 999,049 shares of Class B Common Stock held of record by 4610, LLC; (viii) 1,012,449 shares of Class B Common Stock held of record by Lucy27, LLC; (ix) 283,531 shares of Class A Common Stock subject to options held by Mr. Stoecker that are exercisable within 60 days of December 31, 2021; (x) 37,387 Class A restricted stock unit awards (“RSUs”) held by Mr. Stoecker that will vest within 60 days of December 31, 2021; and (xi) 187,500 shares of Class B Common Stock subject to options held by Mr. Stoecker that are exercisable within 60 days of December 31, 2021. 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.

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 59,770,946 shares of Class A Common Stock outstanding as of December 31, 2021, as reported by the Issuer to the Reporting Person, plus the number of shares of stock options and RSUs held by the Reporting Person that are exercisable within 60 days of December 31, 2021, which are treated as converted into common stock only for the purpose of computing the percentage ownership of the Reporting Person.

Name of Issuer:

Address of Issuer’s Principal Executive Offices:

Name of Person Filing:

Address of Principal Business Office or, If None, Residence

Citizenship:

Title of Class of Securities:

CUSIP Number:

Not applicable.

Ownership

Amount Beneficially Owned:

Percent of Class:

Number of shares as to which the person has:

Sole power to vote or direct the vote:

Shared power to vote or direct the vote:

Sole power to dispose or to direct the disposition of:

Shared power to dispose or to direct the disposition of:

Ownership of Five Percent or Less of a Class

Ownership of More Than Five Percent on Behalf of Another Person

Identification and Classification of Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person

Identification and Classification of Members of the Group

Notice of Dissolution of Group

Certifications