SEC Form 4 · accession 0001445305-19-000039
WORKIVA INC · WK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mithun Banarjee
Officer — EVP and Chief Customer Officer
Period of report
Feb 25, 2019
Accepted (ET)
Feb 27, 2019 · 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 | Feb 25, 2019 | M | 9,900 | $2.53 | A | 148,169 | D | |
| Class A Common Stock | Feb 25, 2019 | M | 15,000 | $14.07 | A | 163,169 | D | |
| Class A Common Stock | Feb 25, 2019 | M | 4,100 | $14.28 | A | 167,269 | D | |
| Class A Common Stock | Feb 25, 2019 | M | 11,000 | $13.55 | A | 178,269 | D | |
| Class A Common StockF1 | Feb 25, 2019 | S | 40,000 | $48.3175 | D | 138,269 | 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 | $2.53 | Feb 25, 2019 | M | 9,900 | D | Mar 25, 2012 | Nov 1, 2021 | Class A Common Stock | 9,900 | 0 | D |
| Employee Stock Option to Purchase Class A Common StockF2 | $14.07 | Feb 25, 2019 | M | 15,000 | D | Apr 1, 2016 | Mar 31, 2025 | Class A Common Stock | 15,000 | 1,000 | D |
| Employee Stock Option to Purchase Class A Common StockF2 | $14.28 | Feb 25, 2019 | M | 4,100 | D | Jul 1, 2017 | Jul 31, 2026 | Class A Common Stock | 4,100 | 15,900 | D |
| Employee Stock Option to Purchase Class A Common StockF2 | $13.55 | Feb 25, 2019 | M | 11,000 | D | Jan 3, 2018 | Jan 2, 2027 | Class A Common Stock | 11,000 | 11,000 | D |
| Employee Stock Option to Purchase Class A Common StockF2 | $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 StockF3 | $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 StockF2 | $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 StockF2 | $16.66 | holding | — | — | — | Jan 4, 2017 | Jan 3, 2026 | Class A Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted-average price. The prices actually received range from $48.2737 to $48.45. 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.
- F2Vests 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.
- F3Fully vested on upon the grant date.