Statement of Changes in Beneficial Ownership (4)
December 02 2020 - 5:13PM
Edgar (US Regulatory)
FORM 4
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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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Miller J Stuart |
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)
Executive VP & CFO |
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(Last)
(First)
(Middle)
2900 UNIVERSITY BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/1/2020 |
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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 | 12/1/2020 | | M | | 21263 | A | $15.83 | 351691 | D | |
| Class A Common Stock | 12/1/2020 | | S | | 17974 | D | $74.72 (1) | 333717 | D | |
| Class A Common Stock | 12/1/2020 | | S | | 3289 | D | $75.18 (2) | 330428 | 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 (3) | $15.83 | 12/1/2020 | | M | | | 21263 | 8/12/2015 (4) | 8/11/2024 | Class A Common Stock | 21263.0 | $74.79 | 0 (5) | D | |
| Employee Stock Option to Purchase Class A Common Stock (3) | $15.86 | | | | | | | 4/7/2015 (4) | 4/6/2024 | Class A Common Stock | 0.0 | | 0 (6) | D | |
| Employee Stock Option to Purchase Class A Common Stock (7) | $14.74 | | | | | | | 2/1/2017 (8) | 1/31/2026 | Class A Common Stock | 31469.0 | | 31469 | D | |
| Employee Stock Option to Purchase Class A Common Stock (7) | $12.4 | | | | | | | 2/1/2018 (8) | 1/31/2027 | Class A Common Stock | 37407.0 | | 37407 | D | |
| Explanation of Responses: |
| (1) | The price reported in Column 4 is a weighted-average price. The price actually received ranges from $74.14 to $75.13. 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. |
| (2) | The price reported in Column 4 is a weighted-average price. The price actually received ranges from $75.14 to $75.23. 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. |
| (3) | Granted pursuant to 2009 Unit Incentive Plan. |
| (4) | 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. |
| (5) | Reflects the transfer of 18,337 stock options to the Reporting Person's former spouse on April 16, 2020 pursuant to a qualified domestic relations order. |
| (6) | Reflects the transfer of 63,452 stock options to the Reporting Person's former spouse on April 16, 2020 pursuant to a qualified domestic relations order. |
| (7) | Grant of stock option pursuant to the 2014 Equity Incentive Plan. |
| (8) | Vests in three equal annual installments commencing on the first anniversary of the grant date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Miller J Stuart
2900 UNIVERSITY BOULEVARD
AMES, IA 50010 |
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| Executive VP & CFO |
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Signatures
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| /s/ Brandon E. Ziegler as attorney-in-fact for J. Stuart Miller | | 12/2/2020 |
| **Signature of Reporting Person | Date |
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