SEC Form 4 · accession 0001445305-18-000027
WORKIVA INC · WK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mithun Banarjee
Officer — EVP, Global Client Services
Period of report
Feb 1, 2018
Accepted (ET)
Feb 5, 2018 · 4:32 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 StockF2 | Feb 1, 2018 | A | 22,472 | $22.25 | A | 22,472 | D | |
| Class A Common StockF3 | Feb 1, 2018 | A | 89,888 | $22.25 | A | 112,360 | D |
Table II — derivative securities
| 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 StockF4,F5 | $2.53 | holding | — | — | — | Mar 25, 2012 | Nov 1, 2021 | Class A Common Stock | 9,900 | 9,900 | D |
| Employee Stock Option to Purchase Class A Common StockF4,F6 | $15.86 | holding | — | — | — | Jan 14, 2014 | Jan 13, 2024 | Class A Common Stock | 1,149 | 1,149 | D |
| Employee Stock Option to Purchase Class A Common StockF4,F5 | $15.86 | holding | — | — | — | Jan 14, 2015 | Jan 13, 2024 | Class A Common Stock | 11,880 | 11,880 | D |
| Employee Stock Option to Purchase Class A Common StockF4,F5 | $15.83 | holding | — | — | — | Nov 1, 2015 | Nov 5, 2024 | Class A Common Stock | 13,860 | 13,860 | D |
| Employee Stock Option to Purchase Class A Common StockF7,F5 | $14.07 | holding | — | — | — | Apr 1, 2016 | Mar 31, 2025 | Class A Common Stock | 16,000 | 16,000 | D |
| Employee Stock Option to Purchase Class A Common StockF7,F5 | $16.66 | holding | — | — | — | Jan 4, 2017 | Jan 3, 2026 | Class A Common Stock | 40,000 | 40,000 | D |
| Employee Stock Option to Purchase Class A Common StockF7,F5 | $14.28 | holding | — | — | — | Jul 1, 2017 | Jul 31, 2026 | Class A Common Stock | 20,000 | 20,000 | D |
| Employee Stock Option to Purchase Class A Common StockF7,F5 | $13.55 | holding | — | — | — | Jan 3, 2018 | Jan 2, 2027 | Class A Common Stock | 22,000 | 22,000 | D |
Explanation of responses
- F1Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.
- F2Vests in three equal annual installments commencing on the first anniversary of the grant date.
- F3Vests in a single installment on the third anniversary of the grant date.
- 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.
- F6Fully vested on upon the grant date.
- F7Grant of stock option pursuant to the 2014 Equity Incentive Plan.