WORKIVA INC — Director's Dealing 2021

Nov 18, 2021

SEC Form 4/A — Form 4/A

Issuer: WORKIVA INC (WK)
CIK: 0001445305
Period of Report: 2021-11-16

Reporting Person: VANDERPLOEG MARTIN J. (Director, President & CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-16	Class A Common Stock	S	599641	$151	Disposed	359	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	377022	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Class B Common Stock	$		Class A Common Stock (710562.0)	710562	Indirect
Class B Common Stock	$		Class A Common Stock (491270.0)	491270	Indirect
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 (133650.0)	133650	Direct

Footnotes

F1: On November 16, 2021, the reporting person filed a Form 4 reporting, among other transactions, the sale by a revocable living trust of 600,000 shares of the issuer's Class A Common Stock. The actual number of shares sold was 599,641. This amendment is being filed to correct the reported number of shares sold.

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: Grant of stock option 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.