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WORKIVA INC

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0001445305
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0 purchase rows · 6 sale rows

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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
June 11, 2018 Filed Jun 13, 2018 20:30 UTC GrantClass A Common Stock 7,034 Not disclosed Not disclosed
Disclosure

SEC source: 0001445305-18-000094 · wf-form4_152892180312969.xml · nonDerivative · entry 1

Katz Eugene S · CIK 0001386894 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,870

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
May 08, 2018 Filed May 10, 2018 16:04 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
ConversionClass B Common Stock · Derivative 194,648 $0.00 $0.00
Disclosure

SEC source: 0001445305-18-000083 · wf-form4_152598266964292.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By charitable remainder trust

Disclosed balance after: 328,402

Underlying: Class A Common Stock · 194,648 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.

F2 · 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).

F2 · 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).

F2 · 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).

F2 · 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
May 08, 2018 Filed May 10, 2018 16:04 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
GiftClass A Common Stock 194,648 $0.00 $0.00
Disclosure

SEC source: 0001445305-18-000083 · wf-form4_152598266964292.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By charitable remainder trust

Disclosed balance after: 0

F1 · shares: On May 8, 2018, the reporting person made charitable gifts in total of 194,648 shares.

Read SEC document
May 08, 2018 Filed May 10, 2018 16:04 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
ConversionClass A Common Stock 194,648 $0.00 $0.00
Disclosure

SEC source: 0001445305-18-000083 · wf-form4_152598266964292.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By charitable remainder trust

Disclosed balance after: 194,648

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
May 07, 2018 Filed May 9, 2018 20:00 UTC
VANDERPLOEG MARTIN J.Director · President & COO · 10% owner
ConversionClass B Common Stock · Derivative 124,239 $0.00 $0.00
Disclosure

SEC source: 0001445305-18-000082 · wf-form4_152589600841095.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 2,515,009

Underlying: Class A Common Stock · 124,239 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.

F2 · 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).

F2 · 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).

F2 · 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).

F2 · 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
May 07, 2018 Filed May 9, 2018 20:00 UTC
VANDERPLOEG MARTIN J.Director · President & COO · 10% owner
ConversionClass A Common Stock 124,239 $0.00 $0.00
Disclosure

SEC source: 0001445305-18-000082 · wf-form4_152589600841095.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 550,000

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.

F1 · balance_after: Includes a previous transfer of 75,761 shares from direct ownership to indirect ownership in living trust.

Read SEC document
May 04, 2018 Filed May 7, 2018 18:16 UTC GiftClass A Common Stock 1,800 $0.00 $0.00
Disclosure

SEC source: 0001317423-18-000009 · wf-form4_152571698477015.xml · nonDerivative · entry 4

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,214,350

F1 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
May 04, 2018 Filed May 7, 2018 18:16 UTC SaleClass A Common Stock 48,075 $26.07 $1,253,315.25
Disclosure

SEC source: 0001317423-18-000009 · wf-form4_152571698477015.xml · nonDerivative · entry 3

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,216,150

F3 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $25.80 to $26.45. 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.

F1 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
May 03, 2018 Filed May 7, 2018 18:16 UTC SaleClass A Common Stock 51,925 $25.35 $1,316,298.75
Disclosure

SEC source: 0001317423-18-000009 · wf-form4_152571698477015.xml · nonDerivative · entry 2

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,264,225

F2 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $25.25 to $25.80. 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.

F1 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
March 02, 2018 Filed Mar 6, 2018 21:30 UTC SaleClass A Common Stock 6,000 $22.83 $136,980.00
Disclosure

SEC source: 0001445305-18-000060 · wf-form4_152037180258523.xml · nonDerivative · entry 1

Katz Eugene S · CIK 0001386894 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,836

F1 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $22.80 to $22.85. 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
March 01, 2018 Filed Mar 2, 2018 21:31 UTC
Klindt JillVP, Treasurer & CAO
GrantEmployee Stock Option to Purchase Class A Common Stock · Derivative 0 Not disclosed Strike: $18.60 Not disclosed
Disclosure

SEC source: 0001445305-18-000056 · wf-form4_152002628703557.xml · derivative · entry 2

Klindt Jill · CIK 0001626102 · VP, Treasurer & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Class A Common Stock · 0 shares

Expires 2027-07-02

F1 · security: Granted pursuant to the 2014 Equity Incentive Plan.

F1 · price: Granted pursuant to the 2014 Equity Incentive Plan.

F3 · 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
March 01, 2018 Filed Mar 2, 2018 21:31 UTC
Klindt JillVP, Treasurer & CAO
GrantClass A Common Stock 6,579 $22.80 $150,001.20
Disclosure

SEC source: 0001445305-18-000056 · wf-form4_152002628703557.xml · nonDerivative · entry 1

Klindt Jill · CIK 0001626102 · VP, Treasurer & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,229

F1 · kind: Granted pursuant to the 2014 Equity Incentive Plan.

F2 · shares: Vests in a single installment on the third anniversary of the grant date.

Read SEC document
February 26, 2018 Filed May 7, 2018 18:16 UTC GiftClass A Common Stock 975 $0.00 $0.00
Disclosure

SEC source: 0001317423-18-000009 · wf-form4_152571698477015.xml · nonDerivative · entry 1

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,316,150

F1 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
February 20, 2018 Filed Feb 20, 2018 19:09 UTC SaleClass A Common Stock 5,306 $26.15 $138,751.90
Disclosure

SEC source: 0001317423-18-000007 · wf-form4_151915377304293.xml · nonDerivative · entry 3

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,317,125

F2 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
February 16, 2018 Filed Feb 20, 2018 19:09 UTC SaleClass A Common Stock 11,080 $25.66 $284,312.80
Disclosure

SEC source: 0001317423-18-000007 · wf-form4_151915377304293.xml · nonDerivative · entry 2

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,322,431

F3 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $25.60 to $26.15. 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 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 19:09 UTC SaleClass A Common Stock 14,614 $25.60 $374,118.40
Disclosure

SEC source: 0001317423-18-000007 · wf-form4_151915377304293.xml · nonDerivative · entry 1

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,333,511

F1 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $25.60 to $25.625. 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 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
February 14, 2018 Filed Feb 14, 2018 20:36 UTC SaleClass A Common Stock 46,402 $24.60 $1,141,489.20
Disclosure

SEC source: 0001317423-18-000006 · wf-form4_151864057399637.xml · nonDerivative · entry 4

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,348,125

F3 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $24.60 to $24.65. 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 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
February 13, 2018 Filed Feb 14, 2018 20:36 UTC GiftClass A Common Stock 1,050 $0.00 $0.00
Disclosure

SEC source: 0001317423-18-000006 · wf-form4_151864057399637.xml · nonDerivative · entry 3

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,394,527

F2 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
February 13, 2018 Filed Feb 14, 2018 20:36 UTC SaleClass A Common Stock 3,598 $24.60 $88,510.80
Disclosure

SEC source: 0001317423-18-000006 · wf-form4_151864057399637.xml · nonDerivative · entry 2

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,395,577

F2 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
February 12, 2018 Filed Feb 14, 2018 20:36 UTC SaleClass A Common Stock 25,000 $24.11 $602,750.00
Disclosure

SEC source: 0001317423-18-000006 · wf-form4_151864057399637.xml · nonDerivative · entry 1

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,399,175

F1 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $24.05 to $24.20. 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 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
February 09, 2018 Filed Feb 9, 2018 18:56 UTC SaleClass A Common Stock 13,843 $23.17 $320,742.31
Disclosure

SEC source: 0001317423-18-000004 · wf-form4_151820255741810.xml · nonDerivative · entry 3

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,424,175

F4 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $23.15 to $23.225. 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 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
February 08, 2018 Filed Feb 9, 2018 18:56 UTC SaleClass A Common Stock 11,157 $23.15 $258,284.55
Disclosure

SEC source: 0001317423-18-000004 · wf-form4_151820255741810.xml · nonDerivative · entry 2

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,438,018

F3 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $23.15 to $23.20. 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 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
February 07, 2018 Filed Feb 9, 2018 18:56 UTC SaleClass A Common Stock 50,000 $22.95 $1,147,500.00
Disclosure

SEC source: 0001317423-18-000004 · wf-form4_151820255741810.xml · nonDerivative · entry 1

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,449,175

F1 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $22.95 to $23.00. 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 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
February 05, 2018 Filed Feb 7, 2018 16:31 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
Tax withholdingClass A Common Stock 6,047 $22.05 $133,336.35
Disclosure

SEC source: 0001445305-18-000037 · wf-form4_151803904977687.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,847

F1 · kind: Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock previously granted.

Read SEC document
February 05, 2018 Filed Feb 7, 2018 21:31 UTC
RIZAI MATTHEW MDirector · Chairman & CEO · 10% owner
Tax withholdingClass A Common Stock 15,777 $22.05 $347,882.85
Disclosure

SEC source: 0001445305-18-000038 · wf-form4_151803906787877.xml · nonDerivative · entry 1

RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,596

F1 · kind: Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock previously granted.

Read SEC document
February 05, 2018 Filed Feb 7, 2018 21:30 UTC
VANDERPLOEG MARTIN J.Director · President & COO · 10% owner
Tax withholdingClass A Common Stock 14,497 $22.05 $319,658.85
Disclosure

SEC source: 0001445305-18-000036 · wf-form4_151803903064943.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,838

F1 · kind: Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock previously granted.

Read SEC document
February 05, 2018 Filed Feb 7, 2018 21:31 UTC
Howell Joseph H.Executive VP
Tax withholdingClass A Common Stock 898 $22.05 $19,800.90
Disclosure

SEC source: 0001445305-18-000040 · wf-form4_151803910282798.xml · nonDerivative · entry 1

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,673

F1 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of restricted units previously granted.

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February 05, 2018 Filed Feb 7, 2018 21:30 UTC
Calkins Troy M.EVP, CLO & Corp Secretary
Tax withholdingClass A Common Stock 8,460 $22.05 $186,543.00
Disclosure

SEC source: 0001445305-18-000035 · wf-form4_151803901389845.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,566

F1 · kind: Shares delivered to the issuer for payment of withholding taxes due upon the vesting of restricted stock previously granted.

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February 05, 2018 Filed Feb 7, 2018 21:31 UTC
Miller J StuartExecutive VP & CFO
Tax withholdingClass A Common Stock 5,902 $22.05 $130,139.10
Disclosure

SEC source: 0001445305-18-000039 · wf-form4_151803908471872.xml · nonDerivative · entry 1

Miller J Stuart · CIK 0001623880 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,860

F1 · kind: Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock previously granted.

F2 · balance_after: Reflects the previous transfer of 5,439 shares to the reporting person's former spouse pursuant to a qualified domestic relations order.

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February 01, 2018 Filed Feb 5, 2018 16:30 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
GrantClass A Common Stock 33,708 $22.25 $750,003.00
Disclosure

SEC source: 0001445305-18-000024 · wf-form4_151786624159437.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,894

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

F2 · shares: Vests in three equal annual installments commencing on the first anniversary of the grant date.

F2 · balance_after: Vests in three equal annual installments commencing on the first anniversary of the grant date.

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February 01, 2018 Filed Feb 5, 2018 21:30 UTC
RIZAI MATTHEW MDirector · Chairman & CEO · 10% owner
GrantClass A Common Stock 89,028 $22.25 $1,980,873.00
Disclosure

SEC source: 0001445305-18-000022 · wf-form4_151786620237984.xml · nonDerivative · entry 1

RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 342,373

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

F2 · shares: Vests in three equal annual installments commencing on the first anniversary of the grant date.

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February 01, 2018 Filed Feb 5, 2018 21:30 UTC
VANDERPLOEG MARTIN J.Director · President & COO · 10% owner
GrantClass A Common Stock 89,028 $22.25 $1,980,873.00
Disclosure

SEC source: 0001445305-18-000023 · wf-form4_151786622349982.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,335

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

F2 · acquired: Vests in three equal annual installments commencing on the first anniversary of the grant date.

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February 01, 2018 Filed Feb 5, 2018 21:32 UTC
Ryan Scott G.Executive VP, Global Sales
GrantClass A Common Stock 143,820 $22.25 $3,199,995.00
Disclosure

SEC source: 0001445305-18-000028 · wf-form4_151786633061352.xml · nonDerivative · entry 2

Ryan Scott G. · CIK 0001701593 · Executive VP, Global Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,775

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

F3 · shares: Vests in a single installment on the third anniversary of the grant date.

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February 01, 2018 Filed Feb 5, 2018 21:32 UTC
Ryan Scott G.Executive VP, Global Sales
GrantClass A Common Stock 35,955 $22.25 $799,998.75
Disclosure

SEC source: 0001445305-18-000028 · wf-form4_151786633061352.xml · nonDerivative · entry 1

Ryan Scott G. · CIK 0001701593 · Executive VP, Global Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,955

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

F2 · shares: Vests in three equal annual installments commencing on the first anniversary of the grant date.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 21:32 UTC
Banarjee MithunEVP, Global Client Services
GrantClass A Common Stock 89,888 $22.25 $2,000,008.00
Disclosure

SEC source: 0001445305-18-000027 · wf-form4_151786631018452.xml · nonDerivative · entry 2

Banarjee Mithun · CIK 0001701596 · EVP, Global Client Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,360

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

F3 · shares: Vests in a single installment on the third anniversary of the grant date.

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February 01, 2018 Filed Feb 5, 2018 21:32 UTC
Banarjee MithunEVP, Global Client Services
GrantClass A Common Stock 22,472 $22.25 $500,002.00
Disclosure

SEC source: 0001445305-18-000027 · wf-form4_151786631018452.xml · nonDerivative · entry 1

Banarjee Mithun · CIK 0001701596 · EVP, Global Client Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,472

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

F2 · shares: Vests in three equal annual installments commencing on the first anniversary of the grant date.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 21:31 UTC
Calkins Troy M.EVP, CLO & Corp Secretary
GrantClass A Common Stock 112,360 $22.25 $2,500,010.00
Disclosure

SEC source: 0001445305-18-000026 · wf-form4_151786629297495.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,026

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

F3 · shares: Vests in a single installment on the third anniversary of the grant date.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 21:31 UTC
Calkins Troy M.EVP, CLO & Corp Secretary
GrantClass A Common Stock 33,708 $22.25 $750,003.00
Disclosure

SEC source: 0001445305-18-000026 · wf-form4_151786629297495.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,666

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

F2 · shares: Vests in three equal annual installments commencing on the first anniversary of the grant date.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 21:31 UTC
Miller J StuartExecutive VP & CFO
GrantClass A Common Stock 134,831 $22.25 $2,999,989.75
Disclosure

SEC source: 0001445305-18-000025 · wf-form4_151786626214798.xml · nonDerivative · entry 2

Miller J Stuart · CIK 0001623880 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,201

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

F3 · shares: Vests in a single installment on the third anniversary of the grant date.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 21:31 UTC
Miller J StuartExecutive VP & CFO
GrantClass A Common Stock 35,955 $22.25 $799,998.75
Disclosure

SEC source: 0001445305-18-000025 · wf-form4_151786626214798.xml · nonDerivative · entry 1

Miller J Stuart · CIK 0001623880 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,370

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

F2 · shares: Vests in three equal annual installments commencing on the first anniversary of the grant date.

Read SEC document
January 24, 2018 Filed Jan 24, 2018 19:52 UTC SaleClass A Common Stock 1,000 $22.15 $22,150.00
Disclosure

SEC source: 0001317423-18-000002 · wf-form4_151682354110832.xml · nonDerivative · entry 5

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,499,175

F1 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

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January 23, 2018 Filed Jan 24, 2018 19:52 UTC SaleClass A Common Stock 3,085 $22.15 $68,332.75
Disclosure

SEC source: 0001317423-18-000002 · wf-form4_151682354110832.xml · nonDerivative · entry 4

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,500,175

F1 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

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January 22, 2018 Filed Jan 24, 2018 19:52 UTC SaleClass A Common Stock 41,915 $22.15 $928,417.25
Disclosure

SEC source: 0001317423-18-000002 · wf-form4_151682354110832.xml · nonDerivative · entry 3

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Living Trust · CIK 0001627563 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Behar Living Trust

Disclosed balance after: 3,503,260

F1 · ownership.nature: Shares are owned directly by The Behar Living Trust (a 10% owner of the issuer), and indirectly by Jerome M. Behar and Leslie F. Behar as settlers of the Behar Living Trust.

Read SEC document
January 19, 2018 Filed Jan 22, 2018 21:31 UTC
RIZAI MATTHEW MDirector · Chairman & CEO · 10% owner
Tax withholdingClass A Common Stock 827 $22.10 $18,276.70
Disclosure

SEC source: 0001445305-18-000009 · wf-form4_151665666050631.xml · nonDerivative · entry 2

RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,345

F1 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of restricted units previously granted.

Read SEC document
January 19, 2018 Filed Jan 22, 2018 16:32 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
Tax withholdingClass A Common Stock 415 $22.10 $9,171.50
Disclosure

SEC source: 0001445305-18-000014 · wf-form4_151665674635025.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,186

F1 · kind: Shares delivered to the issuer for payment of withholding taxes due upon the vesting of restricted units previously granted.

Read SEC document
January 19, 2018 Filed Jan 22, 2018 21:31 UTC
VANDERPLOEG MARTIN J.Director · President & COO · 10% owner
Tax withholdingClass A Common Stock 802 $22.10 $17,724.20
Disclosure

SEC source: 0001445305-18-000010 · wf-form4_151665667647588.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,307

F1 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of restricted units previously granted.

Read SEC document
January 19, 2018 Filed Jan 22, 2018 21:32 UTC
Howell Joseph H.Executive VP
Tax withholdingClass A Common Stock 220 $22.10 $4,862.00
Disclosure

SEC source: 0001445305-18-000013 · wf-form4_151665672757021.xml · nonDerivative · entry 2

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,571

F1 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of restricted units previously granted.

Read SEC document
January 19, 2018 Filed Jan 22, 2018 21:32 UTC
Calkins Troy M.EVP, CLO & Corp Secretary
Tax withholdingClass A Common Stock 584 $22.10 $12,906.40
Disclosure

SEC source: 0001445305-18-000012 · wf-form4_151665671200982.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,958

F1 · kind: Shares delivered to the issuer for payment of withholding taxes due upon the vesting of restricted units previously granted.

Read SEC document
January 19, 2018 Filed Jan 22, 2018 21:31 UTC
Miller J StuartExecutive VP, Treasurer & CFO
Tax withholdingClass A Common Stock 487 $22.10 $10,762.70
Disclosure

SEC source: 0001445305-18-000011 · wf-form4_151665669336309.xml · nonDerivative · entry 2

Miller J Stuart · CIK 0001623880 · Executive VP, Treasurer & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,415

F1 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of restricted units previously granted.

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January 18, 2018 Filed Jan 22, 2018 21:31 UTC
RIZAI MATTHEW MDirector · Chairman & CEO · 10% owner
Tax withholdingClass A Common Stock 1,342 $21.75 $29,188.50
Disclosure

SEC source: 0001445305-18-000009 · wf-form4_151665666050631.xml · nonDerivative · entry 1

RIZAI MATTHEW M · CIK 0001013631 · Director · Chairman & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,172

F1 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of restricted units previously granted.

Read SEC document

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