SEC Form 4 · accession 0001013631-17-000006

WORKIVA INC · WK

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman & CEO · Director · 10% Owner

Period of report

Sep 7, 2017

Accepted (ET)

Sep 11, 2017 · 4:22 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001445305

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Class A Common Stock^F1	Sep 7, 2017	C	173,354	$0.00	A	173,354	I	By charitable remainder trust
Class A Common Stock	Sep 7, 2017	G	173,354	$0.00	D	0	I	By charitable remainder trust
Class A Common Stock	holding	—	—		—	255,514	D
Class A Common Stock	holding	—	—		—	575,000	I	By Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class B Common Stock^F2	—	Sep 7, 2017	C	173,354	D	—	—	Class A Common Stock	173,354	489,113	I
Employee Stock Option to Purchase Class A Common Stock^F3,F4	$12.40	holding	—	—	—	Feb 1, 2018	Jan 31, 2027	Class A Common Stock	200,204	200,204	D
Employee Stock Option to Purchase Class A Common Stock^F3,F4	$14.74	holding	—	—	—	Feb 1, 2017	Jan 31, 2026	Class A Common Stock	168,421	168,421	D
Employee Stock Option to Purchase Class A Common Stock^F5,F6	$15.83	holding	—	—	—	Aug 12, 2015	Aug 11, 2024	Class A Common Stock	178,200	178,200	D
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	1,292,058	1,292,058	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	32,783	32,783	D
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	201,630	201,630	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	885,109	885,109	I

F1The trust converted 173,354 shares of Class B Common Stock on September 7, 2017.
F2Each 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).
F3Granted pursuant to the 2014 Equity Incentive Plan.
F4Vests in three equal annual installments commencing on the first anniversary of the grant date.
F5Granted pursuant to 2009 Unit Incentive Plan.
F6Vests 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.