Filing Details
- Accession Number:
- 0001445305-21-000174
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-16 18:09:50
- Reporting Period:
- 2021-11-16
- Accepted Time:
- 2021-11-16 18:09:50
- 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 | No | 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 | Disposition | 2021-11-04 | 15,000 | $0.00 | 50,000 | No | 5 | G | Indirect | By revocable trust |
| Class A Common Stock | Acquisiton | 2021-11-16 | 113,645 | $0.00 | 163,645 | No | 4 | C | Indirect | By revocable trust |
| Class A Common Stock | Disposition | 2021-11-16 | 159,000 | $151.00 | 4,645 | No | 4 | S | Indirect | By revocable trust |
| Class A Common Stock | Acquisiton | 2021-11-16 | 57,000 | $0.00 | 57,000 | No | 4 | C | Indirect | By irrevocable trust |
| Class A Common Stock | Disposition | 2021-11-16 | 57,000 | $151.00 | 0 | No | 4 | S | Indirect | By irrevocable trust |
| Class A Common Stock | Acquisiton | 2021-11-16 | 57,000 | $0.00 | 57,000 | No | 4 | C | Indirect | By irrev. trust |
| Class A Common Stock | Disposition | 2021-11-16 | 57,000 | $151.00 | 0 | No | 4 | S | Indirect | By irrev. trust |
| Class A Common Stock | Acquisiton | 2021-11-16 | 57,000 | $0.00 | 57,000 | No | 4 | C | Indirect | By irrev trust |
| Class A Common Stock | Disposition | 2021-11-16 | 57,000 | $151.00 | 0 | No | 4 | S | Indirect | By irrev trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Indirect | By revocable trust |
| No | 4 | C | Indirect | By revocable trust |
| No | 4 | S | Indirect | By revocable trust |
| No | 4 | C | Indirect | By irrevocable trust |
| No | 4 | S | Indirect | By irrevocable trust |
| No | 4 | C | Indirect | By irrev. trust |
| No | 4 | S | Indirect | By irrev. trust |
| No | 4 | C | Indirect | By irrev trust |
| No | 4 | S | Indirect | By irrev trust |
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 | 2021-11-16 | 113,645 | $0.00 | 113,645 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2021-11-16 | 57,000 | $0.00 | 57,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2021-11-16 | 57,000 | $0.00 | 57,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2021-11-16 | 57,000 | $0.00 | 57,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 283,577 | 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 | 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 | 159,592 | 159,592 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 328,402 | 328,402 | Indirect | |
| 2027-01-31 | 25,215 | 25,215 | Direct |
| 2026-01-31 | 21,212 | 21,212 | Direct |
| 2024-08-11 | 159,592 | 159,592 | Direct |
Footnotes
- 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.
Billionaire Hedge Funds
