AI assistant
WORKIVA INC — Director's Dealing 2016
Jan 21, 2016
31131_dirs_2016-01-21_866015a6-00e0-4421-a740-ac916cb849be.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: WORKIVA INC (WK)
CIK: 0001445305
Period of Report: 2016-01-19
Reporting Person: RIZAI MATTHEW M (Director, Chairman & CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-01-19 | Class A Common Stock | A | 79824 | — | Acquired | 239824 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 150000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option to Purchase Class A Common Stock | $15.83 | 2024-08-11 | Class A Common Stock (178200.0) | 178200 | Direct |
| Class B Common Stock | $ | Class A Common Stock (1867058.0) | 1867058 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (101630.0) | 101630 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (662467.0) | 662467 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (885109.0) | 885109 | Indirect |
Footnotes
F1: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.
F2: Vests in three equal annual installments commencing on the first anniversary of the grant date.
F3: Granted pursuant to 2009 Unit Incentive Plan.
F4: 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.
F5: 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).