WORKIVA INC — Director's Dealing 2021

Sep 22, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: WORKIVA INC (WK)
CIK: 0001445305
Period of Report: 2021-09-20

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-09-20	Class A Common Stock	S	2410	$143.45	Disposed	201141	Indirect
2021-09-20	Class A Common Stock	S	2613	$144.55	Disposed	198528	Indirect
2021-09-20	Class A Common Stock	S	7168	$145.43	Disposed	191360	Indirect
2021-09-20	Class A Common Stock	S	3359	$146.45	Disposed	188001	Indirect
2021-09-20	Class A Common Stock	S	500	$148.07	Disposed	187501	Indirect
2021-09-20	Class A Common Stock	S	650	$150.27	Disposed	186851	Indirect
2021-09-20	Class A Common Stock	S	800	$151.14	Disposed	186051	Indirect
2021-09-21	Class A Common Stock	S	1518	$147.16	Disposed	184533	Indirect
2021-09-21	Class A Common Stock	S	15377	$148.14	Disposed	169156	Indirect
2021-09-21	Class A Common Stock	S	605	$148.76	Disposed	168551	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 (1177011.0)	1177011	Indirect
Class B Common Stock	$		Class A Common Stock (889020.0)	889020	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: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2021 in accordance with Rule 10b5-1 of Securities Exchange Act of 1934, as amended. This Rule 10b5-1 plan provides for fixed sales of a total of up to 315,000 shares of Class A Common Stock through January 2022.

F2: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $142.93 to $143.88. 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: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $143.98 to $144.95. 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.

F4: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $144.98 to $145.92. 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.

F5: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $145.95 to $146.89. 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.

F6: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $147.84 to $148.54. 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.

F7: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $149.86 to $150.47. 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.

F8: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $150.88 to $151.32. 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.

F9: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $146.68 to $147.64. 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.

F10: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $147.70 to $148.69. 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.

F11: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $148.70 to $148.91. 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.

F12: 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).

F13: Grant of stock option pursuant to the 2014 Equity Incentive Plan.

F14: Vests in three equal annual installments commencing on the first anniversary of the grant date.

F15: Granted pursuant to 2009 Unit Incentive Plan.

F16: 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.