WORKIVA INC 4
4 · WORKIVA INC · Filed Nov 16, 2016
Insider Transaction Report
Form 4
RIZAI MATTHEW M
DirectorChairman & CEO10% Owner
Transactions
- Gift
Class B Common Stock
2016-11-14+76,000→ 201,630 total(indirect: By Trust)→ Class A Common Stock (76,000 underlying) - Gift
Class B Common Stock
2016-11-14−114,000→ 1,292,058 total(indirect: By Trust)→ Class A Common Stock (114,000 underlying)
Holdings
- 186,491
Class A Common Stock
- 32,783
Class B Common Stock
→ Class A Common Stock (32,783 underlying) - 575,000(indirect: By Trust)
Class A Common Stock
- 662,467(indirect: By Trust)
Class B Common Stock
→ Class A Common Stock (662,467 underlying) - 168,421
Employee Stock Option to Purchase Class A Common Stock
Exercise: $14.74From: 2017-02-01Exp: 2026-02-01→ Class A Common Stock (168,421 underlying) - 178,200
Employee Stock Option to Purchase Class A Common Stock
Exercise: $15.83From: 2015-08-12Exp: 2024-08-11→ Class A Common Stock (178,200 underlying) - 885,109(indirect: By Trust)
Class B Common Stock
→ Class A Common Stock (885,109 underlying)
Footnotes (6)
- [F1]Includes unvested restricted stock units.
- [F2]Each share of Class B Common Stock is convertible, at any time at the election of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) the date specified by the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, (ii) any transfer, except for certain "qualified transfers" (as defined in the Issuer's Certificate of Incorporation) or (iii) upon the death of a natural person holding shares of Class B Common Stock (subject to certain exceptions as defined in the Issuer's Certificate of Incorporation).
- [F3]Granted pursuant to the 2014 Equity Incentive Plan.
- [F4]Vests in three equal annual installments commencing on the first anniversary of the grant date.
- [F5]Granted pursuant to 2009 Unit Incentive Plan.
- [F6]Vests 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.