Statement of Changes in Beneficial Ownership (4)
February 21 2023 - 4:39PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
VANDERPLOEG MARTIN J. |
2. Issuer Name and Ticker or Trading Symbol
WORKIVA INC
[
WK
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO |
(Last)
(First)
(Middle)
2900 UNIVERSITY BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/17/2023 |
(Street)
AMES, IA 50010
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Class A Common Stock | 2/9/2023 | | G(1) |
V
| 63844 | D | $0 | 378627 | D | |
Class A Common Stock | 2/9/2023 | | G(1) |
V
| 63844 | A | $0 | 282064 | I | By living trust |
Class A Common Stock | 2/17/2023 | | A | | 3307 (2) | A | $0 | 381934 | D | |
Class A Common Stock | 2/17/2023 | | F(3) | | 1368 | D | $88.24 | 380566 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
Class B Common Stock (4) | (4) | | | | | | | (4) | (4) | Class A Common Stock | 710562.0 | | 710562 | I | By living trust |
Class B Common Stock (4) | (4) | | | | | | | (4) | (4) | Class A Common Stock | 491270.0 | | 491270 | I | By charitable remainder trust |
Employee Stock Option to Purchase Class A Common Stock (5) | $14.74 | | | | | | | 2/1/2017 (6) | 1/31/2026 | Class A Common Stock | 84210.0 | | 84210 | D | |
Employee Stock Option to Purchase Class A Common Stock (5) | $12.4 | | | | | | | 2/1/2018 (6) | 1/31/2027 | Class A Common Stock | 200204.0 | | 200204 | D | |
Explanation of Responses: |
(1) | Represents a gift of securities by the reporting person to a revocable living trust. |
(2) | Represents issued shares of performance restricted stock units ("PSUs") granted to the Reporting Person on February 1, 2022. The Compensation Committee certified the performance conditions and the PSUs were earned and vested at 76% of the target for the 2022 calendar year. Subject to the continued employment of the Reporting Person and achievement of applicable annual revenue growth rate goals, additional PSUs will vest following the completion of the remaining calendar years in the three-year performance period. |
(3) | Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of PSUs previously granted. |
(4) | 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). |
(5) | Grant of stock option pursuant to the 2014 Equity Incentive Plan. |
(6) | Vests in three equal annual installments commencing on the first anniversary of the grant date. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
VANDERPLOEG MARTIN J. 2900 UNIVERSITY BOULEVARD AMES, IA 50010 | X |
| CEO |
|
Signatures
|
/s/ Brandon E. Ziegler as attorney-in-fact for Martin J. Vanderploeg | | 2/21/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Workiva (NYSE:WK)
Historical Stock Chart
From Jun 2024 to Jul 2024
Workiva (NYSE:WK)
Historical Stock Chart
From Jul 2023 to Jul 2024