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4//SEC Filing

WORKIVA INC 4

Accession 0001013631-16-000028

$WKCIK 0001445305operating
View on SEC.govCompany Profile

Filed

Nov 15, 7:00 PM ET

Accepted

Nov 16, 6:23 PM ET

Size

17.1 KB

Accession

0001013631-16-000028

Insider Transaction Report

Form 4
Period: 2016-11-14
WORKIVA INCWK
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

  • Class A Common Stock

    186,491

  • Class B Common Stock

    → Class A Common Stock (32,783 underlying)
    32,783

  • Class A Common Stock

    (indirect: By Trust)
    575,000

  • Class B Common Stock

    (indirect: By Trust)
    → Class A Common Stock (662,467 underlying)
    662,467

  • 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)
    168,421

  • 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)
    178,200

  • Class B Common Stock

    (indirect: By Trust)
    → Class A Common Stock (885,109 underlying)
    885,109
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.

Documents

1 file

Issuer

WORKIVA INC

CIK 0001445305

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001445305

Filing Metadata

Form type
4
Filed
Nov 15, 7:00 PM ET
Accepted
Nov 16, 6:23 PM ET
Size
17.1 KB
View on SEC.gov