SEC Form 4 · accession 0001013632-17-000011

WORKIVA INC · WK

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

Reporting owner

Officer — Executive VP, Treasurer & CFO

Period of report

Feb 1, 2017

Accepted (ET)

Feb 3, 2017 · 6:05 pm EST

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	holding	—	—		—	177,857	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option to Purchase Class A Common Stock^F1,F2	$12.40	Feb 1, 2017	A	37,407	A	Feb 1, 2018	Feb 1, 2027	Class A Common Stock	37,407	37,407	D
Employee Stock Option to Purchase Class A Common Stock^F1,F3	$13.55	holding	—	—	—	Dec 5, 2017	Jan 3, 2027	Class A Common Stock	550	550	I
Employee Stock Option to Purchase Class A Common Stock^F1,F2	$14.74	holding	—	—	—	Feb 1, 2017	Feb 1, 2026	Class A Common Stock	31,469	31,469	D
Employee Stock Option to Purchase Class A Common Stock^F4,F5	$15.83	holding	—	—	—	Aug 12, 2015	Aug 11, 2024	Class A Common Stock	39,600	39,600	D
Employee Stock Option to Purchase Class A Common Stock^F4,F5	$15.86	holding	—	—	—	Apr 7, 2015	Apr 6, 2024	Class A Common Stock	174,240	174,240	D

F1Granted pursuant to the 2014 Equity Incentive Plan.
F2Vests in three equal annual installments commencing on the first anniversary of the grant date.
F3Vests as to 25% of the shares on April 1, 2016 and as to 6.25% of the shares at the end of each three-month period thereafter.
F4Granted pursuant to the 2009 Unit Incentive Plan.
F5Vests 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.