WORKIVA INC 4
4 · WORKIVA INC · Filed Apr 5, 2017
Insider Transaction Report
Form 4
Howell Joseph H.
Executive VP
Transactions
- Conversion
Class A Common Stock
2017-04-03+24,000→ 24,000 total(indirect: By Trust) - Sale
Class A Common Stock
2017-04-03$15.63/sh−24,000$375,120→ 0 total(indirect: By Trust) - Conversion
Class B Common Stock
2017-04-03−24,000→ 641,772 total(indirect: By Trust)→ Class A Common Stock (24,000 underlying)
Holdings
- 22,048
Class A Common Stock
- 44,400(indirect: By daughter)
Class A Common Stock
- 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) - 4,545
Employee Stock Option to Purchase Class A Common Stock
Exercise: $14.74From: 2017-02-01Exp: 2026-01-31→ Class A Common Stock (4,545 underlying)
Footnotes (6)
- [F1]The price reported in Column 4 is a weighted-average price. The prices actually received range from $15.40 to $15.75. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range.
- [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.