WORKIVA INC — Director's Dealing 2020

Dec 3, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: WORKIVA INC (WK)
CIK: 0001445305
Period of Report: 2020-12-01

Reporting Person: Miller J Stuart (Executive VP & CFO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-01	Class A Common Stock	M	21263	$15.83	Acquired	351691	Direct
2020-12-01	Class A Common Stock	S	17974	$74.72	Disposed	333717	Direct
2020-12-01	Class A Common Stock	S	3289	$75.18	Disposed	330428	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-01	Employee Stock Option to Purchase Class A Common Stock	$15.83	M	21263	Disposed	2024-08-11	Class A Common Stock (21263.0)	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Employee Stock Option to Purchase Class A Common Stock	$15.86	2024-04-06	Class A Common Stock (0.0)	0	Direct
Employee Stock Option to Purchase Class A Common Stock	$14.74	2026-01-31	Class A Common Stock (31469.0)	31469	Direct
Employee Stock Option to Purchase Class A Common Stock	$12.4	2027-01-31	Class A Common Stock (37407.0)	37407	Direct

Footnotes

F1: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $74.14 to $75.13. 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.

F2: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $75.14 to $75.23. 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.

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: Reflects the transfer of 18,337 stock options to the Reporting Person's former spouse on April 16, 2020 pursuant to a qualified domestic relations order.

F6: Reflects the transfer of 63,452 stock options to the Reporting Person's former spouse on April 16, 2020 pursuant to a qualified domestic relations order.

F7: Grant of stock option pursuant to the 2014 Equity Incentive Plan.

F8: Vests in three equal annual installments commencing on the first anniversary of the grant date.