Home > Insider Trading > Filing (0001445305-21-000159)

Filing Details

Accession Number:: 0001445305-21-000159
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-10-20 16:22:16
Reporting Period:: 2021-10-18

Accepted Time:: 2021-10-20 16:22:16
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	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	Disposition	2021-10-18	3,832	$140.48	164,719	No	4	S	Indirect	By living trust
Class A Common Stock	Disposition	2021-10-18	2,969	$141.68	161,750	No	4	S	Indirect	By living trust
Class A Common Stock	Disposition	2021-10-18	5,265	$142.87	156,485	No	4	S	Indirect	By living trust
Class A Common Stock	Disposition	2021-10-18	5,434	$143.61	151,051	No	4	S	Indirect	By living trust
Class A Common Stock	Disposition	2021-10-19	1,067	$144.01	149,984	No	4	S	Indirect	By living trust
Class A Common Stock	Disposition	2021-10-19	1,400	$144.94	148,584	No	4	S	Indirect	By living trust
Class A Common Stock	Disposition	2021-10-19	1,341	$146.11	147,243	No	4	S	Indirect	By living trust
Class A Common Stock	Disposition	2021-10-19	10,812	$147.26	136,431	No	4	S	Indirect	By living trust
Class A Common Stock	Disposition	2021-10-19	2,880	$148.35	133,551	No	4	S	Indirect	By living trust

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

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Class A Common Stock	377,022	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			1,177,011	1,177,011	Indirect
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
Class A Common Stock	Employee Stock Option to Purchase Class A Common Stock	$15.83	2015-08-12	2024-08-11	133,650	133,650	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	1,177,011	1,177,011	Indirect
	889,020	889,020	Indirect
2027-01-31	200,204	200,204	Direct
2026-01-31	168,421	168,421	Direct
2024-08-11	133,650	133,650	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 March 16, 2021 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 315,000 shares of Class A Common Stock through January 2022.
The price reported in Column 4 is a weighted-average price. The price actually received ranges from $140.05 to $141.03. 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 $141.16 to $142.15. 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 $142.27 to $143.26. 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 $143.27 to $144.02. 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 $143.62 to $144.10. 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 $144.70 to $145.37. 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 $145.79 to $146.44. 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 $146.79 to $147.72. 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 $147.82 to $148.68. 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).
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.
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.