Filing Details

Accession Number:
0001445305-19-000009
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-01-23 16:16:40
Reporting Period:
2019-01-18
Accepted Time:
2019-01-23 16:16:40
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1445305 Workiva Inc WK () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1013632 D Jeff Trom 2900 University Boulevard
Ames IA 50010
Executive Vp & Cto No Yes Yes 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 Disposition 2019-01-18 781 $38.22 316,954 No 4 F Direct
Class A Common Stock Disposition 2019-01-19 415 $38.22 316,539 No 4 F Direct
Class A Common Stock Disposition 2019-01-22 2,100 $38.38 314,439 No 4 S Direct
Class A Common Stock Disposition 2019-01-22 17,900 $37.75 296,539 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 F Direct
No 4 F Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Class B Common Stock Acquisiton 2019-01-17 1,604,645 $0.00 1,604,645 $0.00
Class A Common Stock Class B Common Stock Disposition 2019-01-17 1,604,645 $0.00 1,604,645 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,604,645 No 5 G Indirect
140,000 No 5 G Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock Class B Common Stock $0.00 328,402 328,402 Indirect
Class A Common Stock Employee Stock Option to Purchase Class A Common Stock $12.40 2018-02-01 2027-01-31 25,215 25,215 Direct
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 21,212 21,212 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
328,402 328,402 Indirect
2027-01-31 25,215 25,215 Direct
2024-08-11 178,200 178,200 Direct
2026-01-31 21,212 21,212 Direct
Footnotes
  1. Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock units previously granted.
  2. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2018.
  3. The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $38.280 to $38.480. 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. The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $37.275 to $38.260. 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.
  5. 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).
  6. Granted pursuant to the 2014 Equity Incentive Plan.
  7. Vests in three equal annual installments commencing on the first anniversary of the grant date.
  8. Granted pursuant to 2009 Unit Incentive Plan.
  9. 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.