0001445305-19-000026.txt : 20190213
0001445305-19-000026.hdr.sgml : 20190213
20190213161537
ACCESSION NUMBER: 0001445305-19-000026
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190211
FILED AS OF DATE: 20190213
DATE AS OF CHANGE: 20190213
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VANDERPLOEG MARTIN J
CENTRAL INDEX KEY: 0001014008
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36773
FILM NUMBER: 19597328
MAIL ADDRESS:
STREET 1: 2900 UNIVERSITY BLVD.
CITY: AMES
STATE: IA
ZIP: 50010
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: WORKIVA INC
CENTRAL INDEX KEY: 0001445305
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 472509828
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2900 UNIVERSITY BLVD.
CITY: AMES
STATE: IA
ZIP: 50010
BUSINESS PHONE: (515) 817-6100
MAIL ADDRESS:
STREET 1: 2900 UNIVERSITY BLVD.
CITY: AMES
STATE: IA
ZIP: 50010
FORMER COMPANY:
FORMER CONFORMED NAME: WORKIVA INC.
DATE OF NAME CHANGE: 20141212
FORMER COMPANY:
FORMER CONFORMED NAME: WORKIVA LLC
DATE OF NAME CHANGE: 20140701
FORMER COMPANY:
FORMER CONFORMED NAME: WEBFILINGS LLC
DATE OF NAME CHANGE: 20091013
4
1
wf-form4_155009252159229.xml
FORM 4
X0306
4
2019-02-11
0
0001445305
WORKIVA INC
WK
0001014008
VANDERPLOEG MARTIN J
2900 UNIVERSITY BOULEVARD
AMES
IA
50010
1
1
1
0
President & CEO
Class A Common Stock
2019-02-11
4
S
0
21508
42.81
D
453492
I
By living trust
Class A Common Stock
2019-02-11
4
S
0
3492
43.30
D
450000
I
By living trust
Class A Common Stock
314918
D
Class B Common Stock
Class A Common Stock
2515009.0
2515009
I
By living trust
Class B Common Stock
Class A Common Stock
889020.0
889020
I
By charitable remainder trust
Employee Stock Option to Purchase Class A Common Stock
12.4
2018-02-01
2027-01-31
Class A Common Stock
200204.0
200204
D
Employee Stock Option to Purchase Class A Common Stock
14.74
2017-02-01
2026-01-31
Class A Common Stock
168421.0
168421
D
Employee Stock Option to Purchase Class A Common Stock
15.83
2015-08-12
2024-08-11
Class A Common Stock
178200.0
178200
D
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 23, 2018.
The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $42.22 to $43.21. 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 prices actually received ranges from $43.22 to $43.43. 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.
/s/ Troy M. Calkins as attorney-in-fact for Martin J. Vanderploeg
2019-02-13