Filing Details

Accession Number:
0001624105-17-000013
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-07-06 17:20:35
Reporting Period:
2017-07-03
Filing Date:
2017-07-06
Accepted Time:
2017-07-06 17:20:35
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1445305 Workiva Inc WK Services-Prepackaged Software (7372) 472509828
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1624105 H. Joseph Howell 2900 University Boulevard
Ames IA 50010
Executive Vp No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2017-07-03 24,000 $0.00 24,000 No 4 C Indirect By living trust
Class A Common Stock Disposition 2017-07-03 8,544 $18.61 15,456 No 4 S Indirect By living trust
Class A Common Stock Disposition 2017-07-05 15,456 $18.61 0 No 4 S Indirect By living trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By living trust
No 4 S Indirect By living trust
No 4 S Indirect By living trust
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Class B Common Stock Disposition 2017-07-03 24,000 $0.00 24,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
617,772 No 4 C Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 22,048 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock Employee Stock Option to Purchase Class A Common Stock $15.83 2015-08-12 2024-08-11 178,200 178,200 Direct
Class A Common Stock Employee Stock Option to Purchase Class A Common Stock $14.74 2017-02-01 2026-01-31 4,545 4,545 Direct
Class A Common Stock Employee Stock Option to Purchase Class A Common Stock $12.40 2018-02-01 2027-01-31 5,403 5,403 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2024-08-11 178,200 178,200 Direct
2026-01-31 4,545 4,545 Direct
2027-01-31 5,403 5,403 Direct
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 31, 2015.
  2. The price reported in Column 4 is a weighted-average price. The prices actually received range from $18.45 to $19.00. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.
  3. The price reported in Column 4 is a weighted-average price. The prices actually received range from $18.45 to $18.80. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.
  4. 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. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).
  5. Granted pursuant to 2009 Unit Incentive Plan.
  6. Vests as to 25% of the shares on the first anniversary of the grant date and as to 6.25% of the shares at the end of each three-month period thereafter.
  7. Granted pursuant to the 2014 Equity Incentive Plan.
  8. Vests in three equal annual installments commencing on the first anniversary of the grant date.