SEC Form 4 · accession 0001013632-17-000012

WORKIVA INC · WK

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

Reporting owner

Officer — Executive VP, Secretary & GC

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	—	—		—	150,837	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,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^F3,F4	$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^F3,F4	$15.86	holding	—	—	—	Mar 27, 2015	Mar 26, 2024	Class A Common Stock	9,900	9,900	D
Employee Stock Option to Purchase Class A Common Stock^F3,F4	$15.86	holding	—	—	—	Feb 25, 2015	Feb 24, 2024	Class A Common Stock	108,900	108,900	D

F1Granted pursuant to the 2014 Equity Incentive Plan.
F2Vests in three equal annual installments commencing on the first anniversary of the grant date.
F3Granted pursuant to the 2009 Unit Incentive Plan.
F4Vests 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.