WORKIVA INC — Director's Dealing 2021

Sep 2, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: WORKIVA INC (WK)
CIK: 0001445305
Period of Report: 2021-09-01

Reporting Person: TROM JEFF D. (Executive VP & CTO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-09-01	Class A Common Stock	A	12601	$142.85	Acquired	283577	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	115000	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Class B Common Stock	$		Class A Common Stock (113645.0)	113645	Indirect
Class B Common Stock	$		Class A Common Stock (328402.0)	328402	Indirect
Class B Common Stock	$		Class A Common Stock (57000.0)	57000	Indirect
Class B Common Stock	$		Class A Common Stock (57000.0)	57000	Indirect
Class B Common Stock	$		Class A Common Stock (57000.0)	57000	Indirect
Employee Stock Option to Purchase Class A Common Stock	$12.4	2027-01-31	Class A Common Stock (25215.0)	25215	Direct
Employee Stock Option to Purchase Class A Common Stock	$14.74	2026-01-31	Class A Common Stock (21212.0)	21212	Direct
Employee Stock Option to Purchase Class A Common Stock	$15.83	2024-08-11	Class A Common Stock (159592.0)	159592	Direct

Footnotes

F1: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

F2: Vests as to 25% of the shares on each of the first and second anniversaries of the grant date, and 50% of the shares on the third anniversary of the grant date.

F3: 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).

F4: Granted pursuant to the 2014 Equity Incentive Plan.

F5: Vests in three equal annual installments commencing on the first anniversary of the grant date.

F6: Granted pursuant to 2009 Unit Incentive Plan.

F7: 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.