SEC Form 4 · accession 0001445305-18-000056
WORKIVA INC · WK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jill Klindt
Officer — VP, Treasurer & CAO
Period of report
Mar 1, 2018
Accepted (ET)
Mar 2, 2018 · 4:31 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 | Mar 1, 2018 | A | 6,579 | $22.80 | A | 35,229 | 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 StockF1,F3 | $18.60 | Mar 1, 2018 | A | 0 | A | Jul 3, 2018 | Jul 2, 2027 | Class A Common Stock | 0 | 25,000 | D |
| Employee Stock Option to Purchase Class A Common StockF1,F3 | $12.40 | holding | — | — | — | Feb 1, 2018 | Feb 1, 2027 | Class A Common Stock | 10,000 | 10,000 | D |
| Employee Stock Option to Purchase Class A Common StockF1,F4 | $14.03 | holding | — | — | — | Apr 1, 2016 | Aug 31, 2025 | Class A Common Stock | 16,000 | 16,000 | D |
| Employee Stock Option to Purchase Class A Common StockF5,F3 | $15.83 | holding | — | — | — | Aug 12, 2015 | Aug 11, 2024 | Class A Common Stock | 11,880 | 11,880 | D |
| Employee Stock Option to Purchase Class A Common StockF5,F3 | $15.86 | holding | — | — | — | Jan 14, 2015 | Jan 13, 2024 | Class A Common Stock | 5,544 | 5,544 | D |
| Employee Stock Option to Purchase Class A Common StockF5,F3 | $15.86 | holding | — | — | — | Jan 14, 2014 | Jan 13, 2024 | Class A Common Stock | 911 | 911 | D |
| Employee Stock Option to Purchase Class A Common StockF5,F3 | $8.48 | holding | — | — | — | Dec 28, 2013 | Dec 27, 2022 | Class A Common Stock | 5,940 | 5,940 | D |
Explanation of responses
- F1Granted pursuant to the 2014 Equity Incentive Plan.
- F2Vests in a single installment on the third anniversary of the grant date.
- F3Vests as to 25% of the shares on the first anniversary of the grant date and then 6.25% of the shares at the end of each three-month period thereafter.
- F4Vests 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.
- F5Granted pursuant to the 2009 Unit Incentive Plan.