SEC Form 4 · accession 0001445305-18-000142
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
Nov 14, 2018
Accepted (ET)
Nov 16, 2018 · 4:16 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 | Nov 14, 2018 | S | 875 | $34.39 | D | 34,354 | D | |
| Class A Common StockF1 | Nov 14, 2018 | S | 2,625 | $35.35 | D | 31,729 | 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 StockF2 | $18.60 | holding | — | — | — | Jul 3, 2018 | Jul 2, 2027 | Class A Common Stock | 25,000 | 25,000 | D |
| Employee Stock Option to Purchase Class A Common StockF2,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 StockF2,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
- F1The price reported in Column 4 is a weighted-average price. The prices actually received range from $35.20 to $35.66. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.
- F2Granted pursuant to the 2014 Equity Incentive Plan.
- 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.