0001445305-20-000114.txt : 20201023 0001445305-20-000114.hdr.sgml : 20201023 20201023161519 ACCESSION NUMBER: 0001445305-20-000114 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201021 FILED AS OF DATE: 20201023 DATE AS OF CHANGE: 20201023 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: 201257886 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_160348410643954.xml FORM 4 X0306 4 2020-10-21 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 2020-02-27 5 G 0 E 14014 0 D 345952 D Class A Common Stock 2020-02-27 5 G 0 E 14014 0 A 25000 I By living trust Class A Common Stock 2020-10-21 4 S 0 21448 55.11 D 3552 I By living trust Class A Common Stock 2020-10-21 4 S 0 3552 56.12 D 0 I By living trust Class B Common Stock Class A Common Stock 2204023.0 2204023 I By living 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 Represents a gift of securities by the reporting person to a revocable living trust. Due to an administrative error, 35,986 shares were reported on September 3, 2020 as directly held instead of indirectly held through a revocable living trust. 25,000 of those shares were subsequently sold on September 21, 2020. 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 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 $54.82 to $55.76. 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 $55.83 to $56.64. 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 Martin J. Vanderploeg 2020-10-23