TROM JEFF D. 4

Accession 0001445305-21-000174

CIK 0001445305other

Filed

Nov 15, 7:00 PM ET

Accepted

Nov 16, 6:09 PM ET

Size

32.7 KB

Accession

0001445305-21-000174

Form 4

Period: 2021-11-16

Executive VP & CTO10% Owner

Transactions

Sale
Class A Common Stock
2021-11-16$151.00/sh−57,000$8,607,000→ 0 total(indirect: By Trust)
Conversion
Class B Common Stock
2021-11-16−57,000→ 0 total(indirect: By Trust)
→ Class A Common Stock (57,000 underlying)
Sale
Class A Common Stock
2021-11-16$151.00/sh−57,000$8,607,000→ 0 total(indirect: By Trust)
Conversion
Class B Common Stock
2021-11-16−57,000→ 0 total(indirect: By Trust)
→ Class A Common Stock (57,000 underlying)
Conversion
Class A Common Stock
2021-11-16+57,000→ 57,000 total(indirect: By Trust)
Conversion
Class A Common Stock
2021-11-16+57,000→ 57,000 total(indirect: By Trust)
Conversion
Class A Common Stock
2021-11-16+57,000→ 57,000 total(indirect: By Trust)
Gift
Class A Common Stock
2021-11-04−15,000→ 50,000 total(indirect: By Trust)
Conversion
Class A Common Stock
2021-11-16+113,645→ 163,645 total(indirect: By Trust)
Sale
Class A Common Stock
2021-11-16$151.00/sh−159,000$24,009,000→ 4,645 total(indirect: By Trust)
Sale
Class A Common Stock
2021-11-16$151.00/sh−57,000$8,607,000→ 0 total(indirect: By Trust)
Conversion
Class B Common Stock
2021-11-16−113,645→ 0 total(indirect: By Trust)
→ Class A Common Stock (113,645 underlying)
Conversion
Class B Common Stock
2021-11-16−57,000→ 0 total(indirect: By Trust)
→ Class A Common Stock (57,000 underlying)

Holdings

Class B Common Stock
(indirect: By Trust)
→ Class A Common Stock (328,402 underlying)
328,402
Employee Stock Option to Purchase Class A Common Stock
Exercise: $12.40From: 2018-02-01Exp: 2027-01-31→ Class A Common Stock (25,215 underlying)
25,215
Employee Stock Option to Purchase Class A Common Stock
Exercise: $15.83From: 2015-08-12Exp: 2024-08-11→ Class A Common Stock (159,592 underlying)
159,592
Class A Common Stock
283,577
Employee Stock Option to Purchase Class A Common Stock
Exercise: $14.74From: 2017-02-01Exp: 2026-01-31→ Class A Common Stock (21,212 underlying)
21,212

Footnotes (5)

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

WORKIVA INC

CIK 0001445305

Entity typeother