Form Type: 4

SEC EDGAR Link
Accession Number:0001445305-20-000110
Date:2020-09-25
Issuer: WORKIVA INC (WK)
Original Submission Date:

Reporting Person:

TROM JEFF D.
2900 UNIVERSITY BOULEVARD
AMES, IA 50010

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON STOCK 2020-09-25 S 2,168 d $54.13 315,959 direct
CLASS A COMMON STOCK 2020-09-25 S 12,901 d $55.21 303,058 direct
CLASS A COMMON STOCK 2020-09-25 S 9,931 d $55.93 293,127 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
CLASS B COMMON STOCK 0.0 2020-09-25 deemed execution date 0 ( ) class a common stock 1,199,645 $0.00 1,199,645 indirect by revocable trust
CLASS B COMMON STOCK 0.0 2020-09-25 deemed execution date 0 ( ) class a common stock 328,402 $0.00 328,402 indirect by charitable remainder trust
EMPLOYEE STOCK OPTION TO PURCHASE CLASS A COMMON STOCK 12.4 2020-09-25 deemed execution date 0 ( ) 2018-02-01 2027-01-31 class a common stock 25,215 $12.40 25,215 direct
EMPLOYEE STOCK OPTION TO PURCHASE CLASS A COMMON STOCK 14.74 2020-09-25 deemed execution date 0 ( ) 2017-02-01 2026-01-31 class a common stock 21,212 $14.74 21,212 direct
EMPLOYEE STOCK OPTION TO PURCHASE CLASS A COMMON STOCK 15.83 2020-09-25 deemed execution date 0 ( ) 2015-08-12 2024-08-11 class a common stock 178,200 $15.83 178,200 direct
Footnotes
IDfootnote
f1 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.
f2 the price reported in column 4 is a weighted-average price. the price actually received ranges from $53.58 to $54.51. 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.
f3 the price reported in column 4 is a weighted-average price. the price actually received ranges from $54.71 to $55.70. 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.
f4 the price reported in column 4 is a weighted-average price. the price actually received ranges from $55.71 to $56.12. 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.
f5 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).
f6 granted pursuant to the 2014 equity incentive plan.
f7 vests in three equal annual installments commencing on the first anniversary of the grant date.
f8 granted pursuant to 2009 unit incentive plan.
f9 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.
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