WORKIVA INC — Director's Dealing 2021

Aug 18, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: WORKIVA INC (WK)
CIK: 0001445305
Period of Report: 2021-08-16

Reporting Person: Klindt Jill (SVP, CFO, CAO & Treasurer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-08-16	Class A Common Stock	M	11880	$15.83	Acquired	61633	Direct
2021-08-16	Class A Common Stock	M	911	$15.86	Acquired	62544	Direct
2021-08-16	Class A Common Stock	M	5544	$15.86	Acquired	68088	Direct
2021-08-16	Class A Common Stock	S	18335	$130.71	Disposed	49753	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-08-16	Employee Stock Option to Purchase Class A Common Stock	$15.83	M	11880	Disposed	2024-08-11	Class A Common Stock (11880.0)	Direct
2021-08-16	Employee Stock Option to Purchase Class A Common Stock	$15.86	M	911	Disposed	2024-01-13	Class A Common Stock (911.0)	Direct
2021-08-16	Employee Stock Option to Purchase Class A Common Stock	$15.86	M	5544	Disposed	2024-01-13	Class A Common Stock (5544.0)	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Employee Stock Option to Purchase Class A Common Stock	$18.6	2027-07-02	Class A Common Stock (25000.0)	25000	Direct
Employee Stock Option to Purchase Class A Common Stock	$12.4	2027-02-01	Class A Common Stock (10000.0)	10000	Direct
Employee Stock Option to Purchase Class A Common Stock	$14.03	2025-08-31	Class A Common Stock (16000.0)	16000	Direct

Footnotes

F1: The price reported in Column 4 is a weighted-average price. The price actually received ranges from $128.50 to $132.55. 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: Granted pursuant to the 2009 Unit Incentive Plan.

F3: Vests as to 25% of the shares on the first anniversary of the grant date and then 6.25% of the shares at the end of each three-month period thereafter.

F4: Granted pursuant to the 2014 Equity Incentive Plan.

F5: Vests as to 25% of the shares on April 1, 2016 and as to 6.25% of the shares at the end of each three-month period thereafter.