0001624105-17-000008.txt : 20170228
0001624105-17-000008.hdr.sgml : 20170228
20170228164901
ACCESSION NUMBER: 0001624105-17-000008
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170224
FILED AS OF DATE: 20170228
DATE AS OF CHANGE: 20170228
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: WORKIVA INC
CENTRAL INDEX KEY: 0001445305
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 472509828
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Howell Joseph H.
CENTRAL INDEX KEY: 0001624105
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36773
FILM NUMBER: 17648532
MAIL ADDRESS:
STREET 1: 2900 UNIVERSITY BLVD.
CITY: AMES
STATE: IA
ZIP: 50010
4
1
wf-form4_148831852295127.xml
FORM 4
X0306
4
2017-02-24
0
0001445305
WORKIVA INC
WK
0001624105
Howell Joseph H.
2900 UNIVERSITY BOULEVARD
AMES
IA
50010
0
1
0
0
Executive VP
Class A Common Stock
2017-02-24
4
S
0
982
14.02
D
0
I
By living trust
Class A Common Stock
44400
I
By daughter
Class A Common Stock
22048
D
Class B Common Stock
Class A Common Stock
665772.0
665772
I
By living trust
Employee Stock Option to Purchase Class A Common Stock
14.74
2017-02-01
2026-01-31
Class A Common Stock
4545.0
4545
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
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 31, 2015.
The price reported in Column 4 is a weighted-average price. The prices actually received range from $14.00 to $14.05. 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/ Troy M. Calkins as attorney-in-fact for Joseph H. Howell
2017-02-28