0001445305-21-000039.txt : 20210226
0001445305-21-000039.hdr.sgml : 20210226
20210226162513
ACCESSION NUMBER: 0001445305-21-000039
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210225
FILED AS OF DATE: 20210226
DATE AS OF CHANGE: 20210226
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: 21689356
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_161437469125275.xml
FORM 4
X0306
4
2021-02-25
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
2021-02-09
5
G
0
E
6392
0
D
270976
D
Class A Common Stock
2021-02-09
5
G
0
E
6392
0
A
6392
I
By revocable trust
Class A Common Stock
2021-02-25
4
S
0
794
99.85
D
5598
I
By revocable trust
Class A Common Stock
2021-02-25
4
S
0
2337
100.79
D
3261
I
By revocable trust
Class A Common Stock
2021-02-25
4
S
0
1900
102
D
1361
I
By revocable trust
Class A Common Stock
2021-02-25
4
S
0
1000
102.75
D
361
I
By revocable trust
Class A Common Stock
2021-02-25
4
S
0
300
104.30
D
61
I
By revocable trust
Class A Common Stock
2021-02-25
4
S
0
61
105.53
D
0
I
By revocable trust
Class A Common Stock
2021-02-25
4
M
0
18608
15.83
A
289584
D
Class A Common Stock
2021-02-25
4
S
0
2800
99.98
D
286784
D
Class A Common Stock
2021-02-25
4
S
0
6306
100.81
D
280478
D
Class A Common Stock
2021-02-25
4
S
0
5137
101.92
D
275341
D
Class A Common Stock
2021-02-25
4
S
0
3288
102.74
D
272053
D
Class A Common Stock
2021-02-25
4
S
0
400
104.23
D
271653
D
Class A Common Stock
2021-02-25
4
S
0
277
105.75
D
271376
D
Class A Common Stock
2021-02-25
4
S
0
400
106.74
D
270976
D
Class B Common Stock
Class A Common Stock
1149645.0
1149645
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
2021-02-25
4
M
0
18608
0
D
2015-08-12
2024-08-11
Class A Common Stock
18608.0
159592
D
Represents a gift of securities by the reporting person to a revocable living trust.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 300,000 shares of stock options and Class A Common Stock through January 2022.
The price reported in Column 4 is a weighted-average price. The price actually received ranges from $99.34 to $100.25. 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 $100.36 to $101.31. 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 $101.41 to $102.38. 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 $102.42 to $103.03. 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 $104.01 to $104.86. 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.
The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.
The price reported in Column 4 is a weighted-average price. The price actually received ranges from $99.37 to $100.36. 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 $100.37 to $101.31. 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 $101.38 to $102.37. 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 $102.38 to $103.13. 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 $105.53 to $106.13. 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 $106.72 to $106.75. 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/ Brandon E. Ziegler as attorney-in-fact for Jeffrey D. Trom
2021-02-26