SEC Form 4 · accession 0001623880-17-000003
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 18, 2017
Accepted (ET)
Jan 20, 2017 · 6:19 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,F1 | Jan 18, 2017 | A | 52,313 | $0.00 | A | 177,857 | 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 | $13.55 | holding | — | — | — | Dec 5, 2017 | Jan 3, 2027 | Class A Common Stock | 550 | 550 | I |
| Employee Stock Option to Purchase Class A Common StockF3,F2 | $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 StockF5,F6 | $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 | $15.86 | holding | — | — | — | Apr 7, 2015 | Apr 6, 2024 | Class A Common Stock | 174,240 | 174,240 | D |
Explanation of responses
- F1Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.
- F2Vests in three equal annual installments commencing on the first anniversary of the grant date.
- F3Granted pursuant to the 2014 Equity Incentive Plan.
- F4Vests 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.
- F5Granted pursuant to 2009 Unit Incentive Plan.
- F6Vests 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.