SEC Form 4 · accession 0001445305-18-000162
WORKIVA INC · WK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Stuart Miller
Officer — Executive VP & CFO
Period of report
Dec 14, 2018
Accepted (ET)
Dec 18, 2018 · 4:15 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 | Dec 14, 2018 | M | 10,000 | $15.86 | A | 300,860 | D | |
| Class A Common StockF2 | Dec 14, 2018 | S | 10,000 | $35.3428 | D | 290,860 | 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 StockF3,F4 | $15.86 | Dec 14, 2018 | M | 10,000 | D | Apr 7, 2015 | Apr 6, 2024 | Class A Common Stock | 10,000 | 164,240 | D |
| Employee Stock Option to Purchase Class A Common StockF3,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 StockF5,F6 | $14.74 | holding | — | — | — | Feb 1, 2017 | Jan 31, 2026 | Class A Common Stock | 31,469 | 31,469 | D |
| Employee Stock Option to Purchase Class A Common StockF5,F6 | $12.40 | holding | — | — | — | Feb 1, 2018 | Jan 31, 2027 | Class A Common Stock | 37,407 | 37,407 | D |
Explanation of responses
- F1Exercise and sale at the direction and for the benefit of the reporting person's former spouse, accordingly the reporting person did not acquire beneficial ownership of the shares.
- F2The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $35.09.65 to $35.86. 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.
- F3Granted pursuant to 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.
- F5Grant of stock option pursuant to the 2014 Equity Incentive Plan.
- F6Vests in three equal annual installments commencing on the first anniversary of the grant date.