Jill E. Klindt - 09 Nov 2021 Form 4 Insider Report for WORKIVA INC (WK)

Role
SVP, CFO, CAO & Treasurer
Signature
/s/ Brandon E. Ziegler as attorney-in-fact for Jill E. Klindt
Issuer symbol
WK
Transactions as of
09 Nov 2021
Net transactions value
-$3,837,520
Form type
4
Filing time
10 Nov 2021, 15:21:56 UTC
Previous filing
02 Sep 2021
Next filing
03 Feb 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction WK Class A Common Stock Options Exercise $224,480 +16,000 +26% $14.03* 76,954 09 Nov 2021 Direct
transaction WK Class A Common Stock Options Exercise $124,000 +10,000 +13% $12.40* 86,954 09 Nov 2021 Direct
transaction WK Class A Common Stock Sale $4,186,000 -26,000 -30% $161.00 60,954 09 Nov 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction WK Employee Stock Option to Purchase Class A Common Stock Options Exercise $0 -16,000 -100% $0.000000* 0 09 Nov 2021 Class A Common Stock 16,000 $14.03 Direct F2, F3
transaction WK Employee Stock Option to Purchase Class A Common Stock Options Exercise $0 -10,000 -100% $0.000000* 0 09 Nov 2021 Class A Common Stock 10,000 $12.40 Direct F2, F4
holding WK Employee Stock Option to Purchase Class A Common Stock 25,000 09 Nov 2021 Class A Common Stock 25,000 $18.60 Direct F2, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted-average price. The price actually received ranges from $160.50 to $162.29. 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 2014 Equity Incentive Plan.
F3 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.
F4 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.