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WORKIVA INC — Director's Dealing 2017
Feb 8, 2017
31131_dirs_2017-02-07_46e516f8-ebe6-4e1f-8e23-8afed2724e25.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: WORKIVA INC (WK)
CIK: 0001445305
Period of Report: 2017-02-06
Reporting Person: Howell Joseph H. (Executive VP)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-02-06 | Class A Common Stock | F | 1089 | $12.85 | Disposed | 22048 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 44400 | Indirect |
| Class A Common Stock | 982 | 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 (5403.0) | 5403 | Direct |
| Employee Stock Option to Purchase Class A Common Stock | $14.74 | 2026-01-31 | Class A Common Stock (4545.0) | 4545 | 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 (665772.0) | 665772 | Indirect |
Footnotes
F1: Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock previously granted.
F2: Granted pursuant to the 2014 Equity Incentive Plan.
F3: Vests in three equal annual installments commencing on the first anniversary of the grant date.
F4: Granted pursuant to 2009 Unit Incentive Plan.
F5: 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.
F6: 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).