0001445305-18-000162.txt : 20181218 0001445305-18-000162.hdr.sgml : 20181218 20181218161521 ACCESSION NUMBER: 0001445305-18-000162 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181214 FILED AS OF DATE: 20181218 DATE AS OF CHANGE: 20181218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Miller J Stuart CENTRAL INDEX KEY: 0001623880 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36773 FILM NUMBER: 181240678 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_154516770367403.xml FORM 4 X0306 4 2018-12-14 0 0001445305 WORKIVA INC WK 0001623880 Miller J Stuart 2900 UNIVERSITY BOULEVARD AMES IA 50010 0 1 0 0 Executive VP & CFO Class A Common Stock 2018-12-14 4 M 0 10000 15.86 A 300860 D Class A Common Stock 2018-12-14 4 S 0 10000 35.3428 D 290860 D Employee Stock Option to Purchase Class A Common Stock 15.86 2018-12-14 4 M 0 10000 0 D 2015-04-07 2024-04-06 Class A Common Stock 10000.0 164240 D Employee Stock Option to Purchase Class A Common Stock 15.83 2015-08-12 2024-08-11 Class A Common Stock 39600.0 39600 D Employee Stock Option to Purchase Class A Common Stock 14.74 2017-02-01 2026-01-31 Class A Common Stock 31469.0 31469 D Employee Stock Option to Purchase Class A Common Stock 12.4 2018-02-01 2027-01-31 Class A Common Stock 37407.0 37407 D Exercise and sale at the direction and for the benefit of the reporting person's former spouse, accordingly the reporting person did not acquire beneficial ownership of the shares. The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $35.09.65 to $35.86. 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. 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. 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. /s/ Troy M. Calkins as attorney-in-fact for J. Stuart Miller 2018-12-18