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Filing Details

Accession Number:: 0001624105-17-000013
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-07-06 17:20:35
Reporting Period:: 2017-07-03

Filing Date:: 2017-07-06
Accepted Time:: 2017-07-06 17:20:35
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1445305	Workiva Inc	WK	Services-Prepackaged Software (7372)	472509828

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1624105	H. Joseph Howell	2900 University Boulevard Ames IA 50010	Executive Vp	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2017-07-03	24,000	$0.00	24,000	No	4	C	Indirect	By living trust
Class A Common Stock	Disposition	2017-07-03	8,544	$18.61	15,456	No	4	S	Indirect	By living trust
Class A Common Stock	Disposition	2017-07-05	15,456	$18.61	0	No	4	S	Indirect	By living trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	By living trust
No	4	S	Indirect	By living trust
No	4	S	Indirect	By living trust

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock	Class B Common Stock	Disposition	2017-07-03	24,000	$0.00	24,000	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
617,772			No	4	C	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Class A Common Stock	22,048	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Class A Common Stock	Employee Stock Option to Purchase Class A Common Stock	$15.83	2015-08-12	2024-08-11	178,200	178,200	Direct
Class A Common Stock	Employee Stock Option to Purchase Class A Common Stock	$14.74	2017-02-01	2026-01-31	4,545	4,545	Direct
Class A Common Stock	Employee Stock Option to Purchase Class A Common Stock	$12.40	2018-02-01	2027-01-31	5,403	5,403	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2024-08-11	178,200	178,200	Direct
2026-01-31	4,545	4,545	Direct
2027-01-31	5,403	5,403	Direct

Footnotes

The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 31, 2015.
The price reported in Column 4 is a weighted-average price. The prices actually received range from $18.45 to $19.00. 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.
The price reported in Column 4 is a weighted-average price. The prices actually received range from $18.45 to $18.80. 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.
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).
Granted pursuant to 2009 Unit Incentive Plan.
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.
Granted pursuant to the 2014 Equity Incentive Plan.
Vests in three equal annual installments commencing on the first anniversary of the grant date.