D. Trom - Feb 1, 2022 Form 4 Insider Report for WORKIVA INC (WK)

Role
Executive VP & CTO
Signature
/s/ Brandon E. Ziegler as attorney-in-fact for Jeffrey D. Trom
Stock symbol
WK
Transactions as of
Feb 1, 2022
Transactions value $
$2,873,756
Form type
4
Date filed
2/3/2022, 03:22 PM
Previous filing
Nov 23, 2021
Next filing
Feb 7, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction WK Class A Common Stock Gift $0 -206K -42.08% $0.00 284K Nov 30, 2021 Direct F1
transaction WK Class A Common Stock Gift $0 +206K +4435.29% $0.00 211K Nov 30, 2021 By revocable trust F1
transaction WK Class A Common Stock Award $3.3M +27.6K +9.72% $119.68 311K Feb 1, 2022 Direct F2, F3
transaction WK Class A Common Stock Tax liability -$426K -3.56K -1.14% $119.68 308K Feb 1, 2022 Direct F4

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
holding WK Class B Common Stock 328K Feb 1, 2022 Class A Common Stock 328K By revocable trust F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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).