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WORKIVA INC

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0001445305
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472

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0 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 16, 2019 Filed Aug 16, 2019 16:15 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
SaleClass A Common Stock 120,000 $56.25 $6,750,000.00
Disclosure

SEC source: 0001445305-19-000118 · wf-form4_156598653862766.xml · nonDerivative · entry 3

TROM JEFF D · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,775

Read SEC document
August 16, 2019 Filed Aug 16, 2019 16:15 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
SaleClass A Common Stock 330,000 $56.25 $18,562,500.00
Disclosure

SEC source: 0001445305-19-000118 · wf-form4_156598653862766.xml · nonDerivative · entry 2

TROM JEFF D · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 0

Read SEC document
August 16, 2019 Filed Aug 16, 2019 16:15 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
Exercise / conversionClass A Common Stock 330,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-19-000118 · wf-form4_156598653862766.xml · nonDerivative · entry 1

TROM JEFF D · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By revocable trust

Disclosed balance after: 330,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 16, 2019 Filed Aug 16, 2019 20:15 UTC
VANDERPLOEG MARTIN J.Director · President & CEO · 10% owner
ConversionClass B Common Stock · Derivative 275,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-19-000117 · wf-form4_156598651642095.xml · derivative · entry 4

VANDERPLOEG MARTIN J · CIK 0001014008 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 2,240,009

Underlying: Class A Common Stock · 275,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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).

F1 · derivative.exercise_price: 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).

F1 · derivative.exercise_date: 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).

F1 · derivative.expiration_date: 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).

Read SEC document
August 16, 2019 Filed Aug 16, 2019 20:15 UTC
VANDERPLOEG MARTIN J.Director · President & CEO · 10% owner
SaleClass A Common Stock 575,000 $56.25 $32,343,750.00
Disclosure

SEC source: 0001445305-19-000117 · wf-form4_156598651642095.xml · nonDerivative · entry 2

VANDERPLOEG MARTIN J · CIK 0001014008 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 0

Read SEC document
August 16, 2019 Filed Aug 16, 2019 20:15 UTC
VANDERPLOEG MARTIN J.Director · President & CEO · 10% owner
Exercise / conversionClass A Common Stock 275,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-19-000117 · wf-form4_156598651642095.xml · nonDerivative · entry 1

VANDERPLOEG MARTIN J · CIK 0001014008 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 575,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 16, 2019 Filed Aug 16, 2019 20:17 UTC
Ryan Scott G.EVP and Chief Revenue Officer
SaleClass A Common Stock 31,250 $56.25 $1,757,812.50
Disclosure

SEC source: 0001445305-19-000122 · wf-form4_156598662075666.xml · nonDerivative · entry 3

Ryan Scott G. · CIK 0001701593 · EVP and Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,944

Read SEC document
August 16, 2019 Filed Aug 16, 2019 20:16 UTC
Banarjee MithunEVP and Chief Customer Officer
SaleClass A Common Stock 70,000 $56.25 $3,937,500.00
Disclosure

SEC source: 0001445305-19-000121 · wf-form4_156598660035426.xml · nonDerivative · entry 7

Banarjee Mithun · CIK 0001701596 · EVP and Chief Customer Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,269

Read SEC document
August 16, 2019 Filed Aug 16, 2019 20:16 UTC
Miller J StuartExecutive VP & CFO
SaleClass A Common Stock 60,788 $56.25 $3,419,325.00
Disclosure

SEC source: 0001445305-19-000120 · wf-form4_156598658017178.xml · nonDerivative · entry 2

Miller J Stuart · CIK 0001623880 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,738

Read SEC document
August 16, 2019 Filed Aug 16, 2019 20:16 UTC
Calkins Troy M.EVP, CLO & Corp Secretary
SaleClass A Common Stock 100,000 $56.25 $5,625,000.00
Disclosure

SEC source: 0001445305-19-000119 · wf-form4_156598656224082.xml · nonDerivative · entry 2

Calkins Troy M. · CIK 0001623840 · EVP, CLO & Corp Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,526

Read SEC document
August 16, 2019 Filed Aug 19, 2019 19:14 UTC Amendment
Calkins Troy M.EVP, CLO & Corp Secretary
SaleClass A Common Stock 100,000 $56.25 $5,625,000.00
Disclosure

SEC source: 0001445305-19-000125 · wf-form4a_156624203780912.xml · nonDerivative · entry 2

Calkins Troy M. · CIK 0001623840 · EVP, CLO & Corp Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,066

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:17 UTC
Ryan Scott G.EVP and Chief Revenue Officer
Exercise / conversionEmployee Stock Option to Purchase Class A Common Stock · Derivative 6,250 $56.25 Strike: $13.55 $351,562.50
Disclosure

SEC source: 0001445305-19-000122 · wf-form4_156598662075666.xml · derivative · entry 5

Ryan Scott G. · CIK 0001701593 · EVP and Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Class A Common Stock · 6,250 shares

Expires 2027-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: 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.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:17 UTC
Ryan Scott G.EVP and Chief Revenue Officer
Exercise / conversionEmployee Stock Option to Purchase Class A Common Stock · Derivative 25,000 $56.25 Strike: $17.92 $1,406,250.00
Disclosure

SEC source: 0001445305-19-000122 · wf-form4_156598662075666.xml · derivative · entry 4

Ryan Scott G. · CIK 0001701593 · EVP and Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Class A Common Stock · 25,000 shares

Expires 2026-08-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: 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.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:17 UTC
Ryan Scott G.EVP and Chief Revenue Officer
Exercise / conversionClass A Common Stock 6,250 $13.55 $84,687.50
Disclosure

SEC source: 0001445305-19-000122 · wf-form4_156598662075666.xml · nonDerivative · entry 2

Ryan Scott G. · CIK 0001701593 · EVP and Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,194

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:17 UTC
Ryan Scott G.EVP and Chief Revenue Officer
Exercise / conversionClass A Common Stock 25,000 $17.92 $448,000.00
Disclosure

SEC source: 0001445305-19-000122 · wf-form4_156598662075666.xml · nonDerivative · entry 1

Ryan Scott G. · CIK 0001701593 · EVP and Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,944

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Banarjee MithunEVP and Chief Customer Officer
Exercise / conversionEmployee Stock Option to Purchase Class A Common Stock · Derivative 7,111 $56.25 Strike: $14.28 $399,993.75
Disclosure

SEC source: 0001445305-19-000121 · wf-form4_156598660035426.xml · derivative · entry 13

Banarjee Mithun · CIK 0001701596 · EVP and Chief Customer Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,789

Underlying: Class A Common Stock · 7,111 shares

Expires 2026-07-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Banarjee MithunEVP and Chief Customer Officer
Exercise / conversionEmployee Stock Option to Purchase Class A Common Stock · Derivative 35,000 $56.25 Strike: $16.66 $1,968,750.00
Disclosure

SEC source: 0001445305-19-000121 · wf-form4_156598660035426.xml · derivative · entry 12

Banarjee Mithun · CIK 0001701596 · EVP and Chief Customer Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Class A Common Stock · 35,000 shares

Expires 2026-01-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Banarjee MithunEVP and Chief Customer Officer
Exercise / conversionEmployee Stock Option to Purchase Class A Common Stock · Derivative 1,000 $56.25 Strike: $14.07 $56,250.00
Disclosure

SEC source: 0001445305-19-000121 · wf-form4_156598660035426.xml · derivative · entry 11

Banarjee Mithun · CIK 0001701596 · EVP and Chief Customer Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,000 shares

Expires 2025-03-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Banarjee MithunEVP and Chief Customer Officer
Exercise / conversionEmployee Stock Option to Purchase Class A Common Stock · Derivative 13,860 $56.25 Strike: $15.83 $779,625.00
Disclosure

SEC source: 0001445305-19-000121 · wf-form4_156598660035426.xml · derivative · entry 10

Banarjee Mithun · CIK 0001701596 · EVP and Chief Customer Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 13,860 shares

Expires 2024-11-05

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Banarjee MithunEVP and Chief Customer Officer
Exercise / conversionEmployee Stock Option to Purchase Class A Common Stock · Derivative 1,149 $56.25 Strike: $15.86 $64,631.25
Disclosure

SEC source: 0001445305-19-000121 · wf-form4_156598660035426.xml · derivative · entry 9

Banarjee Mithun · CIK 0001701596 · EVP and Chief Customer Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,149 shares

Expires 2024-01-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Fully vested on upon the grant date.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Banarjee MithunEVP and Chief Customer Officer
Exercise / conversionEmployee Stock Option to Purchase Class A Common Stock · Derivative 11,880 $56.25 Strike: $15.86 $668,250.00
Disclosure

SEC source: 0001445305-19-000121 · wf-form4_156598660035426.xml · derivative · entry 8

Banarjee Mithun · CIK 0001701596 · EVP and Chief Customer Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 11,880 shares

Expires 2024-01-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: 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.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Banarjee MithunEVP and Chief Customer Officer
Exercise / conversionClass A Common Stock 7,111 $14.28 $101,545.08
Disclosure

SEC source: 0001445305-19-000121 · wf-form4_156598660035426.xml · nonDerivative · entry 6

Banarjee Mithun · CIK 0001701596 · EVP and Chief Customer Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,269

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Banarjee MithunEVP and Chief Customer Officer
Exercise / conversionClass A Common Stock 35,000 $16.66 $583,100.00
Disclosure

SEC source: 0001445305-19-000121 · wf-form4_156598660035426.xml · nonDerivative · entry 5

Banarjee Mithun · CIK 0001701596 · EVP and Chief Customer Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,158

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Banarjee MithunEVP and Chief Customer Officer
Exercise / conversionClass A Common Stock 1,000 $14.07 $14,070.00
Disclosure

SEC source: 0001445305-19-000121 · wf-form4_156598660035426.xml · nonDerivative · entry 4

Banarjee Mithun · CIK 0001701596 · EVP and Chief Customer Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,158

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Banarjee MithunEVP and Chief Customer Officer
Exercise / conversionClass A Common Stock 13,860 $15.83 $219,403.80
Disclosure

SEC source: 0001445305-19-000121 · wf-form4_156598660035426.xml · nonDerivative · entry 3

Banarjee Mithun · CIK 0001701596 · EVP and Chief Customer Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,158

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Banarjee MithunEVP and Chief Customer Officer
Exercise / conversionClass A Common Stock 1,149 $15.86 $18,223.14
Disclosure

SEC source: 0001445305-19-000121 · wf-form4_156598660035426.xml · nonDerivative · entry 2

Banarjee Mithun · CIK 0001701596 · EVP and Chief Customer Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,298

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Banarjee MithunEVP and Chief Customer Officer
Exercise / conversionClass A Common Stock 11,880 $15.86 $188,416.80
Disclosure

SEC source: 0001445305-19-000121 · wf-form4_156598660035426.xml · nonDerivative · entry 1

Banarjee Mithun · CIK 0001701596 · EVP and Chief Customer Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,149

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Miller J StuartExecutive VP & CFO
Exercise / conversionEmployee Stock Option to Purchase Class A Common Stock · Derivative 60,788 $56.25 Strike: $15.86 $3,419,325.00
Disclosure

SEC source: 0001445305-19-000120 · wf-form4_156598658017178.xml · derivative · entry 3

Miller J Stuart · CIK 0001623880 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,452

Underlying: Class A Common Stock · 60,788 shares

Expires 2024-04-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Granted pursuant to 2009 Unit Incentive Plan.

F2 · derivative.exercise_date: 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.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Miller J StuartExecutive VP & CFO
Exercise / conversionClass A Common Stock 60,788 $15.86 $964,097.68
Disclosure

SEC source: 0001445305-19-000120 · wf-form4_156598658017178.xml · nonDerivative · entry 1

Miller J Stuart · CIK 0001623880 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,526

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Calkins Troy M.EVP, CLO & Corp Secretary
Exercise / conversionEmployee Stock Option to Purchase Class A Common Stock · Derivative 63,280 $56.25 Strike: $15.86 $3,559,500.00
Disclosure

SEC source: 0001445305-19-000119 · wf-form4_156598656224082.xml · derivative · entry 3

Calkins Troy M. · CIK 0001623840 · EVP, CLO & Corp Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,620

Underlying: Class A Common Stock · 63,280 shares

Expires 2024-02-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Granted pursuant to 2009 Unit Incentive Plan.

F2 · derivative.exercise_date: 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.

Read SEC document
August 14, 2019 Filed Aug 16, 2019 20:16 UTC
Calkins Troy M.EVP, CLO & Corp Secretary
Exercise / conversionClass A Common Stock 63,280 $15.86 $1,003,620.80
Disclosure

SEC source: 0001445305-19-000119 · wf-form4_156598656224082.xml · nonDerivative · entry 1

Calkins Troy M. · CIK 0001623840 · EVP, CLO & Corp Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 367,526

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 14, 2019 Filed Aug 19, 2019 19:14 UTC Amendment
Calkins Troy M.EVP, CLO & Corp Secretary
Exercise / conversionEmployee Stock Option to Purchase Class A Common Stock · Derivative 63,820 $56.25 Strike: $15.86 $3,589,875.00
Disclosure

SEC source: 0001445305-19-000125 · wf-form4a_156624203780912.xml · derivative · entry 3

Calkins Troy M. · CIK 0001623840 · EVP, CLO & Corp Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,080

Underlying: Class A Common Stock · 63,820 shares

Expires 2024-02-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Granted pursuant to 2009 Unit Incentive Plan.

F2 · derivative.exercise_date: 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.

Read SEC document
August 14, 2019 Filed Aug 19, 2019 19:14 UTC Amendment
Calkins Troy M.EVP, CLO & Corp Secretary
Exercise / conversionClass A Common Stock 63,820 $15.86 $1,012,185.20
Disclosure

SEC source: 0001445305-19-000125 · wf-form4a_156624203780912.xml · nonDerivative · entry 1

Calkins Troy M. · CIK 0001623840 · EVP, CLO & Corp Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,066

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 12, 2019 Filed Aug 12, 2019 21:15 UTC
VANDERPLOEG MARTIN J.Director · President & CEO · 10% owner
SaleClass A Common Stock 2,713 $62.75 $170,240.75
Disclosure

SEC source: 0001445305-19-000104 · wf-form4_156564451165062.xml · nonDerivative · entry 2

VANDERPLOEG MARTIN J · CIK 0001014008 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 300,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 23, 2018.

F3 · price: The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $62.59 to $62.88. 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.

Read SEC document
August 12, 2019 Filed Aug 12, 2019 21:15 UTC
VANDERPLOEG MARTIN J.Director · President & CEO · 10% owner
SaleClass A Common Stock 22,287 $62.07 $1,383,354.09
Disclosure

SEC source: 0001445305-19-000104 · wf-form4_156564451165062.xml · nonDerivative · entry 1

VANDERPLOEG MARTIN J · CIK 0001014008 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 302,713

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 23, 2018.

F2 · price: The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $61.59 to $62.58. 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.

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July 22, 2019 Filed Jul 24, 2019 16:15 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
SaleClass A Common Stock 300 $58.59 $17,577.00
Disclosure

SEC source: 0001445305-19-000094 · wf-form4_156399930678385.xml · nonDerivative · entry 2

TROM JEFF D · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,775

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2018.

F3 · price: The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $58.54 to $58.63. 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.

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July 22, 2019 Filed Jul 24, 2019 16:15 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
SaleClass A Common Stock 19,700 $57.69 $1,136,493.00
Disclosure

SEC source: 0001445305-19-000094 · wf-form4_156399930678385.xml · nonDerivative · entry 1

TROM JEFF D · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355,075

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2018.

F2 · price: The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $57.36 to $58.29. 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.

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July 10, 2019 Filed Jul 12, 2019 20:14 UTC
VANDERPLOEG MARTIN J.Director · President & CEO · 10% owner
SaleClass A Common Stock 25,000 $60.80 $1,520,000.00
Disclosure

SEC source: 0001445305-19-000090 · wf-form4_156296247389881.xml · nonDerivative · entry 1

VANDERPLOEG MARTIN J · CIK 0001014008 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 325,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 23, 2018.

F2 · price: The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $60.50 to $61.45. 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.

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June 20, 2019 Filed Jun 24, 2019 16:20 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
SaleClass A Common Stock 807 $57.98 $46,789.86
Disclosure

SEC source: 0001445305-19-000088 · wf-form4_156140762361207.xml · nonDerivative · entry 2

TROM JEFF D · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,775

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2018.

F3 · price: The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $58.46 to $58.63. 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.

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June 20, 2019 Filed Jun 24, 2019 16:20 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
SaleClass A Common Stock 19,193 $57.90 $1,111,274.70
Disclosure

SEC source: 0001445305-19-000088 · wf-form4_156140762361207.xml · nonDerivative · entry 1

TROM JEFF D · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,582

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2018.

F2 · price: The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $57.45 to $58.37. 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.

Read SEC document
June 20, 2019 Filed Jul 17, 2019 15:59 UTC Amendment
TROM JEFF D.Executive VP & CTO · 10% owner
SaleClass A Common Stock 807 $57.98 $46,789.86
Disclosure

SEC source: 0001445305-19-000092 · wf-form4a_156339354425266.xml · nonDerivative · entry 3

TROM JEFF D · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,775

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2018.

F3 · price: The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $58.46 to $58.63. 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.

Read SEC document
June 20, 2019 Filed Jul 17, 2019 15:59 UTC Amendment
TROM JEFF D.Executive VP & CTO · 10% owner
SaleClass A Common Stock 19,193 $57.90 $1,111,274.70
Disclosure

SEC source: 0001445305-19-000092 · wf-form4a_156339354425266.xml · nonDerivative · entry 2

TROM JEFF D · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,582

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2018.

F2 · price: The price reported in Column 4 is a weighted-average price. The prices actually received ranges from $57.45 to $58.37. 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.

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June 19, 2019 Filed Jul 17, 2019 15:59 UTC Amendment
TROM JEFF D.Executive VP & CTO · 10% owner
ConversionClass B Common Stock · Derivative 140,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-19-000092 · wf-form4a_156339354425266.xml · derivative · entry 4

TROM JEFF D · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 140,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · security: 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).

F4 · derivative.exercise_price: 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).

F4 · derivative.exercise_date: 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).

F4 · derivative.expiration_date: 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).

Read SEC document
June 19, 2019 Filed Jul 17, 2019 15:59 UTC Amendment
TROM JEFF D.Executive VP & CTO · 10% owner
Exercise / conversionClass A Common Stock 140,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-19-000092 · wf-form4a_156339354425266.xml · nonDerivative · entry 1

TROM JEFF D · CIK 0001013632 · Executive VP & CTO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394,775

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 11, 2019 Filed Jun 13, 2019 20:16 UTC GrantClass A Common Stock 3,386 Not disclosed Not disclosed
Disclosure

SEC source: 0001445305-19-000081 · wf-form4_156045697792199.xml · nonDerivative · entry 1

MULCAHY DAVID S · CIK 0001260541 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,549

F1 · kind: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

F1 · price: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

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June 11, 2019 Filed Jun 13, 2019 20:16 UTC GrantClass A Common Stock 3,386 Not disclosed Not disclosed
Disclosure

SEC source: 0001445305-19-000082 · wf-form4_156045699661379.xml · nonDerivative · entry 1

Herz Robert H · CIK 0001523753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,643

F1 · kind: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

F1 · price: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

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June 11, 2019 Filed Jun 13, 2019 20:17 UTC GrantClass A Common Stock 3,386 Not disclosed Not disclosed
Disclosure

SEC source: 0001445305-19-000084 · wf-form4_156045703191819.xml · nonDerivative · entry 1

Bonner Brigid A · CIK 0001359852 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,812

F1 · kind: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

F1 · price: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

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June 11, 2019 Filed Jun 13, 2019 20:17 UTC GrantClass A Common Stock 3,386 Not disclosed Not disclosed
Disclosure

SEC source: 0001445305-19-000083 · wf-form4_156045701415120.xml · nonDerivative · entry 1

Katz Eugene S · CIK 0001386894 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,956

F1 · kind: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

F1 · price: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

Read SEC document
June 11, 2019 Filed Jun 13, 2019 20:15 UTC GrantClass A Common Stock 3,386 Not disclosed Not disclosed
Disclosure

SEC source: 0001445305-19-000080 · wf-form4_156045692271326.xml · nonDerivative · entry 1

CROW MICHAEL M · CIK 0001244046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,381

F1 · kind: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

F1 · price: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

Read SEC document
June 11, 2019 Filed Jun 13, 2019 20:15 UTC GrantClass A Common Stock 3,386 Not disclosed Not disclosed
Disclosure

SEC source: 0001445305-19-000079 · wf-form4_156045690570911.xml · nonDerivative · entry 1

RADIA SUKU V · CIK 0001196027 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,256

F1 · kind: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

F1 · price: Grant of restricted stock units pursuant to the 2014 Equity Incentive Plan.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.