0001445305-20-000144.txt : 20201222 0001445305-20-000144.hdr.sgml : 20201222 20201222162131 ACCESSION NUMBER: 0001445305-20-000144 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201221 FILED AS OF DATE: 20201222 DATE AS OF CHANGE: 20201222 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: 201408200 MAIL ADDRESS: STREET 1: 2900 UNIVERSITY BLVD. CITY: AMES STATE: IA ZIP: 50010 FORMER NAME: FORMER CONFORMED NAME: VANDERPLOEG MARTIN J DATE OF NAME CHANGE: 19960510 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WORKIVA INC CENTRAL INDEX KEY: 0001445305 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 472509828 STATE OF INCORPORATION: DE 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_160867207899588.xml FORM 4 X0306 4 2020-12-21 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 2020-12-21 4 S 0 4713 87.27 D 20287 I By living trust Class A Common Stock 2020-12-21 4 S 0 4343 88.29 D 15944 I By living trust Class A Common Stock 2020-12-21 4 S 0 10947 89.24 D 4997 I By living trust Class A Common Stock 2020-12-21 4 S 0 4997 89.82 D 0 I By living trust Class A Common Stock 345952 D Class B Common Stock Class A Common Stock 2154023.0 2154023 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 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. The price reported in Column 4 is a weighted-average price. The price actually received ranges from $86.69 to $87.67. 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 $87.71 to $88.70. 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. The price reported in Column 4 is a weighted-average price. The price actually received ranges from $88.71 to $89.70. 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. The price reported in Column 4 is a weighted-average price. The price actually received ranges from $89.71 to $90.27. 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/ Brandon E. Ziegler as attorney-in-fact for Martin J. Vanderploeg 2020-12-22