WORKIVA INC — Director's Dealing 2017

Sep 11, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: WORKIVA INC (WK)
CIK: 0001445305
Period of Report: 2017-09-07

Reporting Person: RIZAI MATTHEW M (Director, Chairman & CEO, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-09-07	Class A Common Stock	C	173354	—	Acquired	173354	Indirect
2017-09-07	Class A Common Stock	G	173354	—	Disposed	0	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-09-07	Class B Common Stock	$	C	173354	Disposed		Class A Common Stock (173354.0)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	255514	Direct
Class A Common Stock	575000	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Employee Stock Option to Purchase Class A Common Stock	$12.4	2027-01-31	Class A Common Stock (200204.0)	200204	Direct
Employee Stock Option to Purchase Class A Common Stock	$14.74	2026-01-31	Class A Common Stock (168421.0)	168421	Direct
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 (1292058.0)	1292058	Indirect
Class B Common Stock	$		Class A Common Stock (32783.0)	32783	Direct
Class B Common Stock	$		Class A Common Stock (201630.0)	201630	Indirect
Class B Common Stock	$		Class A Common Stock (885109.0)	885109	Indirect

Footnotes

F1: The trust converted 173,354 shares of Class B Common Stock on September 7, 2017.

F2: 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).

F3: Granted pursuant to the 2014 Equity Incentive Plan.

F4: Vests in three equal annual installments commencing on the first anniversary of the grant date.

F5: Granted pursuant to 2009 Unit Incentive Plan.

F6: 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.