Filing Details
- Accession Number:
- 0001445305-21-000113
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-08-11 16:32:07
- Reporting Period:
- 2021-08-09
- Accepted Time:
- 2021-08-11 16:32:07
- 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 |
---|---|---|---|---|---|---|---|
1014008 | J. Martin Vanderploeg | 2900 University Boulevard Ames IA 50010 | President & Ceo | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Class A Common Stock | Acquisiton | 2021-08-09 | 561,029 | $0.00 | 713,597 | No | 4 | C | Indirect | By living trust |
Class A Common Stock | Disposition | 2021-08-09 | 691,029 | $127.50 | 22,568 | No | 4 | S | Indirect | By living trust |
Class A Common Stock | Acquisiton | 2021-08-09 | 44,550 | $15.83 | 402,251 | No | 4 | M | Direct | |
Class A Common Stock | Disposition | 2021-08-09 | 44,550 | $127.50 | 357,701 | No | 4 | S | Direct |
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 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Class A Common Stock | Class B Common Stock | Disposition | 2021-08-09 | 561,029 | $0.00 | 561,029 | $0.00 |
Class A Common Stock | Employee Stock Option to Purchase Class A Common Stock | Disposition | 2021-08-09 | 44,550 | $0.00 | 44,550 | $15.83 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,392,994 | No | 4 | C | Indirect | ||
133,650 | 2015-08-12 | 2024-08-11 | No | 4 | M | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Class A Common Stock | Class B Common Stock | $0.00 | 889,020 | 889,020 | Indirect | ||
Class A Common Stock | Employee Stock Option to Purchase Class A Common Stock | $12.40 | 2018-02-01 | 2027-01-31 | 200,204 | 200,204 | Direct |
Class A Common Stock | Employee Stock Option to Purchase Class A Common Stock | $14.74 | 2017-02-01 | 2026-01-31 | 168,421 | 168,421 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
889,020 | 889,020 | Indirect | |
2027-01-31 | 200,204 | 200,204 | Direct |
2026-01-31 | 168,421 | 168,421 | Direct |
Footnotes
- The sales reported in this Form 4 were transacted for tax planning purposes in connection with a divorce settlement agreement.
- 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.
- Grant of stock option pursuant to the 2014 Equity Incentive Plan.
- Vests in three equal annual installments commencing on the first anniversary of the grant date.