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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
January 18, 2018 Filed Jan 22, 2018 16:32 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
Tax withholdingClass A Common Stock 982 $21.75 $21,358.50
Disclosure

SEC source: 0001445305-18-000014 · wf-form4_151665674635025.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,601

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 18, 2018 Filed Jan 22, 2018 21:31 UTC
VANDERPLOEG MARTIN J.Director · President & COO · 10% owner
Tax withholdingClass A Common Stock 1,301 $21.75 $28,296.75
Disclosure

SEC source: 0001445305-18-000010 · wf-form4_151665667647588.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,109

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 18, 2018 Filed Jan 22, 2018 21:32 UTC
Howell Joseph H.Executive VP
Tax withholdingClass A Common Stock 257 $21.75 $5,589.75
Disclosure

SEC source: 0001445305-18-000013 · wf-form4_151665672757021.xml · nonDerivative · entry 1

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,791

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 18, 2018 Filed Jan 22, 2018 21:32 UTC
Calkins Troy M.EVP, CLO & Corp Secretary
Tax withholdingClass A Common Stock 1,155 $21.75 $25,121.25
Disclosure

SEC source: 0001445305-18-000012 · wf-form4_151665671200982.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,542

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 18, 2018 Filed Jan 22, 2018 21:31 UTC
Miller J StuartExecutive VP, Treasurer & CFO
Tax withholdingClass A Common Stock 985 $21.75 $21,423.75
Disclosure

SEC source: 0001445305-18-000011 · wf-form4_151665669336309.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,902

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

F2 · balance_after: Reflects the previous transfer of 25,830 shares to the reporting person's former spouse pursuant to a qualified domestic relations order.

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December 19, 2017 Filed Jan 24, 2018 19:52 UTC GiftClass A Common Stock 2,800 $0.00 $0.00
Disclosure

SEC source: 0001317423-18-000002 · wf-form4_151682354110832.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: 3,545,175

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.

Read SEC document
December 15, 2017 Filed Jan 24, 2018 19:52 UTC GiftClass A Common Stock 375 $0.00 $0.00
Disclosure

SEC source: 0001317423-18-000002 · wf-form4_151682354110832.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: 3,547,975

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
November 24, 2017 Filed Nov 27, 2017 21:30 UTC GiftClass A Common Stock 300 $0.00 $0.00
Disclosure

SEC source: 0001445305-17-000058 · wf-form4_151181821196586.xml · nonDerivative · entry 1

Katz Eugene S · CIK 0001386894 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,836

F1 · shares: On November 24, 2017, the reporting person made a charitable gift of 300 shares.

Read SEC document
November 15, 2017 Filed Nov 17, 2017 21:03 UTC
Howell Joseph H.Executive VP
ConversionClass B Common Stock · Derivative 24,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-17-000056 · wf-form4_151095261748070.xml · derivative · entry 4

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 593,772

Underlying: Class A Common Stock · 24,000 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.

F3 · 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).

F3 · 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).

F3 · 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).

F3 · 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
November 15, 2017 Filed Nov 17, 2017 21:03 UTC
Howell Joseph H.Executive VP
SaleClass A Common Stock 24,000 $21.84 $524,160.00
Disclosure

SEC source: 0001445305-17-000056 · wf-form4_151095261748070.xml · nonDerivative · entry 2

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 0

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 21, 2017.

F2 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $21.75 to $22.05. 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
November 15, 2017 Filed Nov 17, 2017 21:03 UTC
Howell Joseph H.Executive VP
ConversionClass A Common Stock 24,000 $0.00 $0.00
Disclosure

SEC source: 0001445305-17-000056 · wf-form4_151095261748070.xml · nonDerivative · entry 1

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 24,000

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
November 10, 2017 Filed Nov 13, 2017 19:00 UTC GiftClass A Common Stock 80 $0.00 $0.00
Disclosure

SEC source: 0001317423-17-000035 · wf-form4_151059962052822.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: 3,548,350

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
November 08, 2017 Filed Nov 13, 2017 19:00 UTC SaleClass A Common Stock 2,442 $23.40 $57,142.80
Disclosure

SEC source: 0001317423-17-000035 · wf-form4_151059962052822.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: 3,548,430

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
October 19, 2017 Filed Nov 13, 2017 19:00 UTC GiftClass A Common Stock 200 $0.00 $0.00
Disclosure

SEC source: 0001317423-17-000035 · wf-form4_151059962052822.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: 3,550,872

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
October 13, 2017 Filed Nov 13, 2017 19:00 UTC GiftClass A Common Stock 1,200 $0.00 $0.00
Disclosure

SEC source: 0001317423-17-000035 · wf-form4_151059962052822.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: 3,551,072

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
October 06, 2017 Filed Oct 6, 2017 19:55 UTC SaleClass A Common Stock 3,000 $22.00 $66,000.00
Disclosure

SEC source: 0001317423-17-000029 · wf-form4_150731972532908.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: 3,552,272

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
October 05, 2017 Filed Oct 6, 2017 19:55 UTC SaleClass A Common Stock 9,500 $22.04 $209,380.00
Disclosure

SEC source: 0001317423-17-000029 · wf-form4_150731972532908.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: 3,555,272

F1 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $22.00 to $22.10. 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
October 04, 2017 Filed Oct 6, 2017 19:55 UTC SaleClass A Common Stock 12,500 $22.05 $275,625.00
Disclosure

SEC source: 0001317423-17-000029 · wf-form4_150731972532908.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: 3,564,772

F1 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $22.00 to $22.10. 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
September 29, 2017 Filed Sep 29, 2017 19:03 UTC SaleClass A Common Stock 17,769 $20.97 $372,615.93
Disclosure

SEC source: 0001317423-17-000027 · wf-form4_150671180850949.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: 3,577,272

F2 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $20.95 to $21.00. 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.

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
September 28, 2017 Filed Sep 29, 2017 19:03 UTC SaleClass A Common Stock 1,289 $20.95 $27,004.55
Disclosure

SEC source: 0001317423-17-000027 · wf-form4_150671180850949.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: 3,595,041

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
September 27, 2017 Filed Sep 29, 2017 19:03 UTC SaleClass A Common Stock 942 $20.95 $19,734.90
Disclosure

SEC source: 0001317423-17-000027 · wf-form4_150671180850949.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: 3,596,330

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
September 22, 2017 Filed Sep 22, 2017 19:47 UTC SaleClass A Common Stock 15,115 $20.20 $305,323.00
Disclosure

SEC source: 0001317423-17-000025 · wf-form4_150610962966568.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: 3,597,272

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
September 21, 2017 Filed Sep 22, 2017 19:47 UTC SaleClass A Common Stock 5,885 $20.20 $118,877.00
Disclosure

SEC source: 0001317423-17-000025 · wf-form4_150610962966568.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: 3,612,387

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
September 20, 2017 Filed Sep 22, 2017 19:47 UTC SaleClass A Common Stock 3,798 $20.25 $76,909.50
Disclosure

SEC source: 0001317423-17-000025 · wf-form4_150610962966568.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: 3,618,272

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
September 07, 2017 Filed Sep 11, 2017 20:22 UTC
RIZAI MATTHEW MDirector · Chairman & CEO · 10% owner
ConversionClass B Common Stock · Derivative 173,354 $0.00 $0.00
Disclosure

SEC source: 0001013631-17-000006 · wf-form4_150516133361962.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By charitable remainder trust

Disclosed balance after: 489,113

Underlying: Class A Common Stock · 173,354 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).

F1 · kind: The trust converted 173,354 shares of Class B Common Stock on September 7, 2017.

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
September 07, 2017 Filed Sep 11, 2017 20:22 UTC
RIZAI MATTHEW MDirector · Chairman & CEO · 10% owner
GiftClass A Common Stock 173,354 $0.00 $0.00
Disclosure

SEC source: 0001013631-17-000006 · wf-form4_150516133361962.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By charitable remainder trust

Disclosed balance after: 0

Read SEC document
September 07, 2017 Filed Sep 11, 2017 20:22 UTC
RIZAI MATTHEW MDirector · Chairman & CEO · 10% owner
ConversionClass A Common Stock 173,354 $0.00 $0.00
Disclosure

SEC source: 0001013631-17-000006 · wf-form4_150516133361962.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By charitable remainder trust

Disclosed balance after: 173,354

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 · kind: The trust converted 173,354 shares of Class B Common Stock on September 7, 2017.

F1 · price: The trust converted 173,354 shares of Class B Common Stock on September 7, 2017.

Read SEC document
August 31, 2017 Filed Sep 1, 2017 19:09 UTC SaleClass A Common Stock 58,009 $20.00 $1,160,180.00
Disclosure

SEC source: 0001317423-17-000023 · wf-form4_150429294992760.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: 3,622,070

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
August 30, 2017 Filed Sep 1, 2017 19:09 UTC SaleClass A Common Stock 57,186 $20.00 $1,143,720.00
Disclosure

SEC source: 0001317423-17-000023 · wf-form4_150429294992760.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: 3,680,079

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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August 18, 2017 Filed Aug 21, 2017 18:27 UTC SaleClass A Common Stock 7,332 $20.00 $146,640.00
Disclosure

SEC source: 0001317423-17-000021 · wf-form4_150334005499720.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: 3,737,265

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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August 17, 2017 Filed Aug 21, 2017 18:27 UTC SaleClass A Common Stock 39,055 $20.00 $781,100.00
Disclosure

SEC source: 0001317423-17-000021 · wf-form4_150334005499720.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: 3,744,597

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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August 14, 2017 Filed Aug 16, 2017 18:50 UTC SaleClass A Common Stock 1,839 $20.00 $36,780.00
Disclosure

SEC source: 0001317423-17-000019 · wf-form4_150290938853648.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: 3,783,652

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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August 07, 2017 Filed Aug 8, 2017 19:45 UTC SaleClass A Common Stock 141 $20.00 $2,820.00
Disclosure

SEC source: 0001317423-17-000017 · wf-form4_150222154460925.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: 3,785,491

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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August 04, 2017 Filed Aug 8, 2017 19:45 UTC SaleClass A Common Stock 36,438 $20.00 $728,760.00
Disclosure

SEC source: 0001317423-17-000017 · wf-form4_150222154460925.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: 3,785,632

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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July 19, 2017 Filed Jul 19, 2017 19:04 UTC SaleClass A Common Stock 75,000 $20.70 $1,552,500.00
Disclosure

SEC source: 0001317423-17-000015 · wf-form4_150049108221275.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: 3,822,070

F2 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $20.65 to $20.80. 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
July 18, 2017 Filed Jul 19, 2017 19:04 UTC SaleClass A Common Stock 48,710 $20.25 $986,377.50
Disclosure

SEC source: 0001317423-17-000015 · wf-form4_150049108221275.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: 3,897,070

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
July 17, 2017 Filed Jul 19, 2017 19:04 UTC SaleClass A Common Stock 1,290 $20.25 $26,122.50
Disclosure

SEC source: 0001317423-17-000015 · wf-form4_150049108221275.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: 3,945,780

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
July 05, 2017 Filed Jul 6, 2017 21:20 UTC
Howell Joseph H.Executive VP
SaleClass A Common Stock 15,456 $18.61 $287,636.16
Disclosure

SEC source: 0001624105-17-000013 · wf-form4_149937602073454.xml · nonDerivative · entry 3

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 0

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 31, 2015.

F3 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $18.45 to $18.80. 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.

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July 03, 2017 Filed Jul 6, 2017 21:20 UTC
Klindt JillVP & CAO
GrantEmployee Stock Option to Purchase Class A Common Stock · Derivative 25,000 Not disclosed Strike: $18.60 Not disclosed
Disclosure

SEC source: 0001624105-17-000014 · wf-form4_149937603735162.xml · derivative · entry 2

Klindt Jill · CIK 0001626102 · VP & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Class A Common Stock · 25,000 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.

F2 · 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.

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July 03, 2017 Filed Jul 6, 2017 21:20 UTC
Howell Joseph H.Executive VP
ConversionClass B Common Stock · Derivative 24,000 $0.00 $0.00
Disclosure

SEC source: 0001624105-17-000013 · wf-form4_149937602073454.xml · derivative · entry 5

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 617,772

Underlying: Class A Common Stock · 24,000 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).

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July 03, 2017 Filed Jul 6, 2017 21:20 UTC
Howell Joseph H.Executive VP
SaleClass A Common Stock 8,544 $18.61 $159,003.84
Disclosure

SEC source: 0001624105-17-000013 · wf-form4_149937602073454.xml · nonDerivative · entry 2

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 15,456

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 31, 2015.

F2 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $18.45 to $19.00. 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.

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July 03, 2017 Filed Jul 6, 2017 21:20 UTC
Howell Joseph H.Executive VP
ConversionClass A Common Stock 24,000 $0.00 $0.00
Disclosure

SEC source: 0001624105-17-000013 · wf-form4_149937602073454.xml · nonDerivative · entry 1

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 24,000

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
June 20, 2017 Filed Jun 21, 2017 17:24 UTC SaleClass A Common Stock 767 $19.10 $14,649.70
Disclosure

SEC source: 0001317423-17-000013 · wf-form4_149806582426382.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: 3,947,070

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
June 19, 2017 Filed Jun 21, 2017 17:24 UTC SaleClass A Common Stock 13,037 $19.10 $249,006.70
Disclosure

SEC source: 0001317423-17-000013 · wf-form4_149806582426382.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: 3,947,837

F2 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $19.10 to $19.15. 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.

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
June 14, 2017 Filed Jun 21, 2017 17:24 UTC GiftClass A Common Stock 1,915 $0.00 $0.00
Disclosure

SEC source: 0001317423-17-000013 · wf-form4_149806582426382.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: 3,960,874

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
June 13, 2017 Filed Jun 15, 2017 20:47 UTC GrantClass A Common Stock 9,893 Not disclosed Not disclosed
Disclosure

SEC source: 0001244046-17-000010 · wf-form4_149755965024486.xml · nonDerivative · entry 1

RADIA SUKU V · CIK 0001196027 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,836

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 13, 2017 Filed Jun 15, 2017 20:47 UTC GrantClass A Common Stock 9,893 Not disclosed Not disclosed
Disclosure

SEC source: 0001244046-17-000009 · wf-form4_149755963056260.xml · nonDerivative · entry 1

MULCAHY DAVID S · CIK 0001260541 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,129

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 13, 2017 Filed Jun 15, 2017 20:47 UTC GrantClass A Common Stock 9,893 Not disclosed Not disclosed
Disclosure

SEC source: 0001244046-17-000008 · wf-form4_149755961323766.xml · nonDerivative · entry 1

Katz Eugene S · CIK 0001386894 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,136

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 13, 2017 Filed Jun 15, 2017 20:46 UTC GrantClass A Common Stock 9,893 Not disclosed Not disclosed
Disclosure

SEC source: 0001244046-17-000007 · wf-form4_149755959561822.xml · nonDerivative · entry 1

Herz Robert H · CIK 0001523753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,223

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 13, 2017 Filed Jun 15, 2017 20:46 UTC GrantClass A Common Stock 9,893 Not disclosed Not disclosed
Disclosure

SEC source: 0001244046-17-000006 · wf-form4_149755957659969.xml · nonDerivative · entry 1

CROW MICHAEL M · CIK 0001244046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,836

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.