Form 4 for WK WORKIVA INC
Accepted 2021-08-11 00:00:00 ET · period of report 2021-08-09 · accession 0001445305-21-000113 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2021-08-11 | 2021-08-09 | WK | VANDERPLOEG MARTIN J. | Pres, CEO, Dir, 10% | C - Cnv Deriv | $0.00 | +561.0K | 713.6K | +368% | $0 |
| DI | 2021-08-11 | 2021-08-09 | WK | VANDERPLOEG MARTIN J. | Pres, CEO, Dir, 10% | S - Sale+OE | $127.50 | -691.0K | 22.6K | -97% | -$88.11M |
| D | 2021-08-11 | 2021-08-09 | WK | VANDERPLOEG MARTIN J. | Pres, CEO, Dir, 10% | M - OptEx | $15.83 | +44.5K | 402.3K | +12% | +$705.2K |
| D | 2021-08-11 | 2021-08-09 | WK | VANDERPLOEG MARTIN J. | Pres, CEO, Dir, 10% | S - Sale+OE | $127.50 | -44.5K | 357.7K | -11% | -$5.68M |
| D | 2021-08-11 | 2021-08-09 | WK | VANDERPLOEG MARTIN J. | Pres, CEO, Dir, 10% | M - OptEx | $0.00 | -44.5K | 133.7K | -25% | $0 |
| DI | 2021-08-11 | 2021-08-09 | WK | VANDERPLOEG MARTIN J. | Pres, CEO, Dir, 10% | C - Cnv Deriv | $0.00 | -561.0K | 1.39M | -29% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-08-09 | C | A | 561,029 | $0.00 | 713,597 | I By living trust | — | — | |
| 2 | Common | Class A Common Stock | 2021-08-09 | S | D | 691,029 | $127.50 | 22,568 | I By living trust | — | — | |
| 3 | Common | Class A Common Stock | 2021-08-09 | M | A | 44,550 | $15.83 | 402,251 | D | — | — | |
| 4 | Common | Class A Common Stock | 2021-08-09 | S | D | 44,550 | $127.50 | 357,701 | D | — | — | |
| 5 | Derivative | Employee Stock Option to Purchase Class A Common Stock | 2021-08-09 | M | D | 44,550 | $0.00 | 133,650 | D | $15.83 · 2015-08-12 to 2024-08-11 | 44,550 Class A Common Stock | (F3) Granted pursuant to 2009 Unit Incentive Plan. (F4) 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. |
| 6 | Derivative | Class B Common Stock | 2021-08-09 | C | D | 561,029 | $0.00 | 1,392,994 | I By living trust | — · — to — | 561,029 Class A Common Stock | (F2) 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). |