SEC Form 4 · accession 0001445305-19-000010
WORKIVA INC · WK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Troy M. Calkins
Officer — EVP, CLO & Corp Secretary
Period of report
Jan 18, 2019
Accepted (ET)
Jan 23, 2019 · 4:17 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 | Jan 18, 2019 | F | 963 | $38.22 | D | 276,603 | D | |
| Class A Common StockF2 | Jan 19, 2019 | F | 584 | $38.22 | D | 276,019 | 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,F2 | $12.40 | holding | — | — | — | Feb 1, 2018 | Jan 31, 2027 | Class A Common Stock | 37,407 | 37,407 | D |
| Employee Stock Option to Purchase Class A Common StockF3,F2 | $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 StockF4,F5 | $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 StockF4,F5 | $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 StockF4,F5 | $15.86 | holding | — | — | — | Feb 25, 2015 | Feb 24, 2024 | Class A Common Stock | 108,900 | 108,900 | D |
Explanation of responses
- F1Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock units previously granted.
- F2Vests in three equal annual installments commencing on the first anniversary of the grant date.
- F3Grant of stock option pursuant to the 2014 Equity Incentive Plan.
- F4Granted pursuant to 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.