| Accession Number: | 0001445305-20-000106 |
| Date: | 2020-09-01 |
| Issuer: | WORKIVA INC (WK) |
| Original Submission Date: |
VANDERPLOEG MARTIN J.
2900 UNIVERSITY BOULEVARD
AMES, IA 50010
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| CLASS A COMMON STOCK | 2020-09-01 | C | 35,986 | a | $0.00 | 395,952 | direct |
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| CLASS B COMMON STOCK | 0.0 | 2020-09-01 | deemed execution date | C | 35,986 (d) | class a common stock 35,986 | $0.00 | 2,204,023 | indirect | by living trust | ||
| EMPLOYEE STOCK OPTION TO PURCHASE CLASS A COMMON STOCK | 12.4 | 2020-09-01 | deemed execution date | 0 ( ) | 2018-02-01 | 2027-01-31 | class a common stock 200,204 | $12.40 | 200,204 | direct | ||
| EMPLOYEE STOCK OPTION TO PURCHASE CLASS A COMMON STOCK | 14.74 | 2020-09-01 | deemed execution date | 0 ( ) | 2017-02-01 | 2026-01-31 | class a common stock 168,421 | $14.74 | 168,421 | direct | ||
| EMPLOYEE STOCK OPTION TO PURCHASE CLASS A COMMON STOCK | 15.83 | 2020-09-01 | deemed execution date | 0 ( ) | 2015-08-12 | 2024-08-11 | class a common stock 178,200 | $15.83 | 178,200 | direct |
| ID | footnote |
|---|---|
| f1 | 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). |
| f2 | granted pursuant to the 2014 equity incentive plan. |
| f3 | vests in three equal annual installments commencing on the first anniversary of the grant date. |
| f4 | granted pursuant to 2009 unit incentive plan. |
| f5 | 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. |
