$WK|4Feb 3, 6:06 PM ET

WORKIVA INC 4

4 · WORKIVA INC · Filed Feb 3, 2017

Form 4

Period: 2017-02-01

Executive VP

Transactions

Award
Employee Stock Option to Purchase Class A Common Stock
2017-02-01+5,403→ 5,403 total
Exercise: $12.40From: 2018-02-01Exp: 2027-02-01→ Class A Common Stock (5,403 underlying)

Holdings

Class A Common Stock
(indirect: By daughter)
44,400
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
Employee Stock Option to Purchase Class A Common Stock
Exercise: $14.74From: 2017-02-01Exp: 2026-02-01→ Class A Common Stock (4,545 underlying)
4,545
Class A Common Stock
(indirect: By Trust)
982
Class A Common Stock
23,137
Class B Common Stock
(indirect: By Trust)
→ Class A Common Stock (665,772 underlying)
665,772

Footnotes (5)

[F1]Granted pursuant to the 2014 Equity Incentive Plan.
[F2]Vests in three equal annual installments commencing on the first anniversary of the grant date.
[F3]Granted pursuant to the 2009 Unit Incentive Plan.
[F4]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.
[F5]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).

Documents

1 file