Filing Details

Accession Number:
0001445305-21-000159
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-10-20 16:22:16
Reporting Period:
2021-10-18
Accepted Time:
2021-10-20 16:22:16
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
1014008 J. Martin Vanderploeg 2900 University Boulevard
Ames IA 50010
President & Ceo Yes 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 Disposition 2021-10-18 3,832 $140.48 164,719 No 4 S Indirect By living trust
Class A Common Stock Disposition 2021-10-18 2,969 $141.68 161,750 No 4 S Indirect By living trust
Class A Common Stock Disposition 2021-10-18 5,265 $142.87 156,485 No 4 S Indirect By living trust
Class A Common Stock Disposition 2021-10-18 5,434 $143.61 151,051 No 4 S Indirect By living trust
Class A Common Stock Disposition 2021-10-19 1,067 $144.01 149,984 No 4 S Indirect By living trust
Class A Common Stock Disposition 2021-10-19 1,400 $144.94 148,584 No 4 S Indirect By living trust
Class A Common Stock Disposition 2021-10-19 1,341 $146.11 147,243 No 4 S Indirect By living trust
Class A Common Stock Disposition 2021-10-19 10,812 $147.26 136,431 No 4 S Indirect By living trust
Class A Common Stock Disposition 2021-10-19 2,880 $148.35 133,551 No 4 S Indirect By living trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By living trust
No 4 S Indirect By living trust
No 4 S Indirect By living trust
No 4 S Indirect By living trust
No 4 S Indirect By living trust
No 4 S Indirect By living trust
No 4 S Indirect By living trust
No 4 S Indirect By living trust
No 4 S Indirect By living trust
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 377,022 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 1,177,011 1,177,011 Indirect
Class A Common Stock Class B Common Stock $0.00 889,020 889,020 Indirect
Class A Common Stock Employee Stock Option to Purchase Class A Common Stock $12.40 2018-02-01 2027-01-31 200,204 200,204 Direct
Class A Common Stock Employee Stock Option to Purchase Class A Common Stock $14.74 2017-02-01 2026-01-31 168,421 168,421 Direct
Class A Common Stock Employee Stock Option to Purchase Class A Common Stock $15.83 2015-08-12 2024-08-11 133,650 133,650 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
1,177,011 1,177,011 Indirect
889,020 889,020 Indirect
2027-01-31 200,204 200,204 Direct
2026-01-31 168,421 168,421 Direct
2024-08-11 133,650 133,650 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 March 16, 2021 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 315,000 shares of Class A Common Stock through January 2022.
  2. The price reported in Column 4 is a weighted-average price. The price actually received ranges from $140.05 to $141.03. 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 price actually received ranges from $141.16 to $142.15. 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 price actually received ranges from $142.27 to $143.26. 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. The price reported in Column 4 is a weighted-average price. The price actually received ranges from $143.27 to $144.02. 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.
  6. The price reported in Column 4 is a weighted-average price. The price actually received ranges from $143.62 to $144.10. 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.
  7. The price reported in Column 4 is a weighted-average price. The price actually received ranges from $144.70 to $145.37. 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.
  8. The price reported in Column 4 is a weighted-average price. The price actually received ranges from $145.79 to $146.44. 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.
  9. The price reported in Column 4 is a weighted-average price. The price actually received ranges from $146.79 to $147.72. 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.
  10. The price reported in Column 4 is a weighted-average price. The price actually received ranges from $147.82 to $148.68. 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.
  11. 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).
  12. Grant of stock option pursuant to the 2014 Equity Incentive Plan.
  13. Vests in three equal annual installments commencing on the first anniversary of the grant date.
  14. Granted pursuant to 2009 Unit Incentive Plan.
  15. 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.