0001445305-20-000107.txt : 20200903 0001445305-20-000107.hdr.sgml : 20200903 20200903200729 ACCESSION NUMBER: 0001445305-20-000107 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200901 FILED AS OF DATE: 20200903 DATE AS OF CHANGE: 20200903 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: 201160459 MAIL ADDRESS: STREET 1: 2900 UNIVERSITY BLVD. CITY: AMES STATE: IA ZIP: 50010 FORMER NAME: FORMER CONFORMED NAME: TROM JEFF D DATE OF NAME CHANGE: 19960506 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_159917803113102.xml FORM 4 X0306 4 2020-09-01 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 2020-09-01 4 C 0 50000 0 A 318127 D Class B Common Stock 2020-09-01 4 C 0 50000 0 D Class A Common Stock 50000.0 1199645 I By revocable trust 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 14.74 2017-02-01 2026-01-31 Class A Common Stock 21212.0 21212 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 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/ Brandon E. Ziegler as attorney-in-fact for Jeffrey D. Trom 2020-09-03 EX-24 2 ex-24.htm TROM, POA

POWER OF ATTORNEY

The undersigned hereby constitutes and appoints each of Brandon E. Ziegler and Jose A. Visaya, or either of them signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to:

(1) prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the U.S. Securities and Exchange Commission (the "SEC") a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934 or any rule or regulation of the SEC;

(2) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Workiva Inc. (the "Company"), Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder;

(3) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and

(4) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion.

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. No such attorney-in-fact shall incur any liability to the undersigned for acting or refraining from acting under this power, except for such attorney-in-fact's own willful misconduct or gross negligence.

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. The undersigned shall have the right to revoke this Power of Attorney at any time.

This Power of Attorney is governed by Delaware law.

Any reproduced copy of this signed original shall be deemed to be an original counterpart of this Power of Attorney.

IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney this 3rd day of September, 2020.


/s/ Jeffrey D. Trom
Signature

Jeffrey D. Trom
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