SEC Form 4 · accession 0001445305-19-000041
WORKIVA INC · WK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott G. Ryan
Officer — EVP and Chief Revenue Officer
Period of report
Feb 25, 2019
Accepted (ET)
Feb 27, 2019 · 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 | Feb 25, 2019 | M | 25,000 | $13.55 | A | 242,944 | D | |
| Class A Common StockF1 | Feb 25, 2019 | S | 25,000 | $48.3418 | D | 217,944 | 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,F3 | $13.55 | Feb 25, 2019 | M | 25,000 | D | Jan 3, 2018 | Jan 2, 2027 | Class A Common Stock | 25,000 | 25,000 | D |
| Employee Stock Option to Purchase Class A Common StockF2,F3 | $17.92 | holding | — | — | — | Aug 15, 2017 | Aug 31, 2026 | Class A Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted-average price. The prices actually received range from $48.2737 to $49.00. 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.
- F2Grant of stock option 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.