0001445305-23-000047.txt : 20230221 0001445305-23-000047.hdr.sgml : 20230221 20230221163905 ACCESSION NUMBER: 0001445305-23-000047 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230217 FILED AS OF DATE: 20230221 DATE AS OF CHANGE: 20230221 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: 23648795 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_167701550666087.xml FORM 4 X0306 4 2023-02-17 0 0001445305 WORKIVA INC WK 0001014008 VANDERPLOEG MARTIN J. 2900 UNIVERSITY BOULEVARD AMES IA 50010 1 1 0 0 CEO Class A Common Stock 2023-02-09 5 G 0 E 63844 0 D 378627 D Class A Common Stock 2023-02-09 5 G 0 E 63844 0 A 282064 I By living trust Class A Common Stock 2023-02-17 4 A 0 3307 0 A 381934 D Class A Common Stock 2023-02-17 4 F 0 1368 88.24 D 380566 D Class B Common Stock Class A Common Stock 710562.0 710562 I By living trust Class B Common Stock Class A Common Stock 491270.0 491270 I By charitable remainder trust Employee Stock Option to Purchase Class A Common Stock 14.74 2017-02-01 2026-01-31 Class A Common Stock 84210.0 84210 D 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 Represents a gift of securities by the reporting person to a revocable living trust. Represents issued shares of performance restricted stock units ("PSUs") granted to the Reporting Person on February 1, 2022. The Compensation Committee certified the performance conditions and the PSUs were earned and vested at 76% of the target for the 2022 calendar year. Subject to the continued employment of the Reporting Person and achievement of applicable annual revenue growth rate goals, additional PSUs will vest following the completion of the remaining calendar years in the three-year performance period. Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of PSUs previously granted. 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). 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/ Brandon E. Ziegler as attorney-in-fact for Martin J. Vanderploeg 2023-02-21