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