0001445305-19-000009.txt : 20190123 0001445305-19-000009.hdr.sgml : 20190123 20190123161640 ACCESSION NUMBER: 0001445305-19-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190118 FILED AS OF DATE: 20190123 DATE AS OF CHANGE: 20190123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TROM JEFF D CENTRAL INDEX KEY: 0001013632 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36773 FILM NUMBER: 19537593 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_154827818303867.xml FORM 4 X0306 4 2019-01-18 0 0001445305 WORKIVA INC WK 0001013632 TROM JEFF D 2900 UNIVERSITY BOULEVARD AMES IA 50010 0 1 1 0 Executive VP & CTO Class A Common Stock 2019-01-18 4 F 0 781 38.22 D 316954 D Class A Common Stock 2019-01-19 4 F 0 415 38.22 D 316539 D Class A Common Stock 2019-01-22 4 S 0 2100 38.38 D 314439 D Class A Common Stock 2019-01-22 4 S 0 17900 37.753 D 296539 D Class B Common Stock 2019-01-17 5 G 0 E 1604645 0 A Class A Common Stock 1604645.0 1604645 I By revocable trust Class B Common Stock 2019-01-17 5 G 0 E 1604645 0 D Class A Common Stock 1604645.0 140000 D Class B Common Stock Class A Common Stock 328402.0 328402 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 25215.0 25215 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 Employee Stock Option to Purchase Class A Common Stock 14.74 2017-02-01 2026-01-31 Class A Common Stock 21212.0 21212 D Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock units previously granted. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2018. The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $38.280 to $38.480. 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 $37.275 to $38.260. 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). 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. /s/ Troy M. Calkins as attorney-in-fact for Jeffrey D. Trom 2019-01-23