Statement of Changes in Beneficial Ownership (4)
05 February 2021 - 9:16AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Klindt Jill |
2. Issuer Name and Ticker or Trading Symbol
WORKIVA INC
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WK
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
SVP, Treasurer & CAO |
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(Last)
(First)
(Middle)
2900 UNIVERSITY BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/3/2021 |
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(Street)
AMES, IA 50010
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Class A Common Stock | 2/3/2021 | | F(1) | | 983 | D | $102.91 | 30814 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Employee Stock Option to Purchase Class A Common Stock (2) | $18.6 | | | | | | | 7/3/2018 (3) | 7/2/2027 | Class A Common Stock | 25000.0 | | 25000 | D | |
| Employee Stock Option to Purchase Class A Common Stock (2) | $12.4 | | | | | | | 2/1/2018 (3) | 2/1/2027 | Class A Common Stock | 10000.0 | | 10000 | D | |
| Employee Stock Option to Purchase Class A Common Stock (2) | $14.03 | | | | | | | 4/1/2016 (4) | 8/31/2025 | Class A Common Stock | 16000.0 | | 16000 | D | |
| Employee Stock Option to Purchase Class A Common Stock (5) | $15.83 | | | | | | | 8/12/2015 (3) | 8/11/2024 | Class A Common Stock | 11880.0 | | 11880 | D | |
| Employee Stock Option to Purchase Class A Common Stock (5) | $8.48 | | | | | | | 12/28/2013 (3) | 12/27/2022 | Class A Common Stock | 5940.0 | | 5940 | D | |
| Employee Stock Option to Purchase Class A Common Stock (5) | $15.86 | | | | | | | 1/14/2014 (3) | 1/13/2024 | Class A Common Stock | 911.0 | | 911 | D | |
| Employee Stock Option to Purchase Class A Common Stock (5) | $15.86 | | | | | | | 1/14/2015 (3) | 1/13/2024 | Class A Common Stock | 5544.0 | | 5544 | D | |
| Explanation of Responses: |
| (1) | Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of restricted stock units previously granted. |
| (2) | Granted pursuant to the 2014 Equity Incentive Plan. |
| (3) | 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. |
| (4) | 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. |
| (5) | Granted pursuant to the 2009 Unit Incentive Plan. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Klindt Jill
2900 UNIVERSITY BOULEVARD
AMES, IA 50010 |
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| SVP, Treasurer & CAO |
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Signatures
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| /s/ Brandon E. Ziegler as attorney-in-fact for Jill E. Klindt | | 2/4/2021 |
| **Signature of Reporting Person | Date |
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