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WORKIVA INC — Director's Dealing 2022
Feb 3, 2022
31131_dirs_2022-02-03_1014c822-649c-4e0f-a2ed-9fe456430e39.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: WORKIVA INC (WK)
CIK: 0001445305
Period of Report: 2022-02-01
Reporting Person: VANDERPLOEG MARTIN J. (Director, President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-12-30 | Class A Common Stock | G | 217861 | — | Disposed | 377022 | Direct |
| 2021-12-30 | Class A Common Stock | G | 217861 | — | Acquired | 218220 | Indirect |
| 2022-02-01 | Class A Common Stock | A | 39167 | $119.68 | Acquired | 416189 | Direct |
| 2022-02-01 | Class A Common Stock | F | 13819 | $119.68 | Disposed | 402370 | 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 | $14.74 | 2026-01-31 | Class A Common Stock (84210.0) | 84210 | Direct |
| Employee Stock Option to Purchase Class A Common Stock | $12.4 | 2027-01-31 | Class A Common Stock (200204.0) | 200204 | Direct |
Footnotes
F1: Represents a gift of securities by the reporting person to a revocable living trust.
F2: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.
F3: Vests in three equal annual installments commencing on the first anniversary of the grant date.
F4: Shares delivered to the issuer for payment of withholding taxes due upon the vesting of restricted stock units previously granted.
F5: 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).
F6: Grant of stock option pursuant to the 2014 Equity Incentive Plan.