Home > Insider Trading > Filing (0001445305-20-000116)

Filing Details

Accession Number:: 0001445305-20-000116
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-10-28 16:05:30
Reporting Period:: 2020-10-26

Accepted Time:: 2020-10-28 16:05:30
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1445305	Workiva Inc	WK	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1013632	D. Jeff Trom	2900 University Boulevard Ames IA 50010	Executive Vp & Cto	No	Yes	Yes	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	Disposition	2020-10-26	22,106	$54.66	2,894	No	4	S	Indirect	By revocable trust
Class A Common Stock	Disposition	2020-10-26	2,683	$55.68	211	No	4	S	Indirect	By revocable trust
Class A Common Stock	Disposition	2020-10-26	211	$56.38	0	No	4	S	Indirect	By revocable trust

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

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Class A Common Stock	268,127	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	Class B Common Stock	$0.00			1,199,645	1,199,645	Indirect
Class A Common Stock	Class B Common Stock	$0.00			328,402	328,402	Indirect
Class A Common Stock	Employee Stock Option to Purchase Class A Common Stock	$12.40	2018-02-01	2027-01-31	25,215	25,215	Direct
Class A Common Stock	Employee Stock Option to Purchase Class A Common Stock	$14.74	2017-02-01	2026-01-31	21,212	21,212	Direct
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

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	1,199,645	1,199,645	Indirect
	328,402	328,402	Indirect
2027-01-31	25,215	25,215	Direct
2026-01-31	21,212	21,212	Direct
2024-08-11	178,200	178,200	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 21, 2020 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 100,000 shares of Class A Common Stock through December 2020.
The price reported in Column 4 is a weighted-average price. The price actually received ranges from $54.14 to $54.98. 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.
Due to an administrative error, 50,000 shares were reported on September 3, 2020 as directly held instead of indirectly held through a revocable trust. 25,000 of those shares were subsequently sold on September 25, 2020.
The price reported in Column 4 is a weighted-average price. The price actually received ranges from $55.23 to $55.91. 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 price actually received ranges from $56.38 to $56.39. 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 the 2014 Equity Incentive Plan.
Vests in three equal annual installments commencing on the first anniversary of the grant date.
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.