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
  1. The sales reported in this Form 4 were transacted for tax planning purposes in connection with a divorce settlement agreement.
  2. 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).
  3. Granted pursuant to 2009 Unit Incentive Plan.
  4. 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.
  5. Grant of stock option pursuant to the 2014 Equity Incentive Plan.
  6. Vests in three equal annual installments commencing on the first anniversary of the grant date.