SEC Form 4 · accession 0001623880-17-000002
WORKIVA INC · WK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Stuart Miller
Officer — Executive VP, Treasurer & CFO
Period of report
Jan 3, 2017
Accepted (ET)
Jan 6, 2017 · 5:21 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 | holding | — | — | — | 125,544 | 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 StockF1,F3,F2 | $13.55 | Jan 3, 2017 | J | 550 | A | Dec 5, 2017 | Jan 3, 2027 | Class A Common Stock | 550 | 550 | I |
| Employee Stock Option to Purchase Class A Common StockF4,F5 | $14.74 | holding | — | — | — | Feb 1, 2017 | Feb 1, 2026 | Class A Common Stock | 31,469 | 31,469 | D |
| Employee Stock Option to Purchase Class A Common StockF6,F7 | $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 StockF6,F7 | $15.86 | holding | — | — | — | Apr 7, 2015 | Apr 6, 2024 | Class A Common Stock | 174,240 | 174,240 | D |
Explanation of responses
- F1Grant of stock option approved by the Chief Executive Officer pursuant to the 2014 Equity Incentive Plan.
- F2Vests as to 25% of the shares on December 5, 2017 and then 6.25% of the shares at the end of each three-month period thereafter.
- F3Reporting Person disclaims beneficial ownership in shares owned by child who shares Reporting Person's household. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.
- F4Granted pursuant to the 2014 Equity Incentive Plan.
- F5Vests in three equal annual installments commencing on the first anniversary of the grant date.
- F6Granted pursuant to 2009 Unit Incentive Plan.
- F7Vests 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.