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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
June 05, 2017 Filed Jun 6, 2017 17:29 UTC SaleClass A Common Stock 5,979 $18.90 $113,003.10
Disclosure

SEC source: 0001317423-17-000011 · wf-form4_149677017039172.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: 3,962,789

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
June 02, 2017 Filed Jun 6, 2017 17:29 UTC SaleClass A Common Stock 50,142 $18.76 $940,663.92
Disclosure

SEC source: 0001317423-17-000011 · wf-form4_149677017039172.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: 3,968,768

F1 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $18.75 to $18.90. 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
May 30, 2017 Filed May 31, 2017 17:10 UTC SaleClass A Common Stock 73,206 $18.27 $1,337,473.62
Disclosure

SEC source: 0001317423-17-000009 · wf-form4_149625063563643.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: 4,018,910

F3 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $18.25 to $18.35. 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
May 26, 2017 Filed May 31, 2017 17:10 UTC SaleClass A Common Stock 3,314 $18.38 $60,911.32
Disclosure

SEC source: 0001317423-17-000009 · wf-form4_149625063563643.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: 4,092,116

F1 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $18.35 to $18.40. 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
May 16, 2017 Filed May 17, 2017 18:06 UTC SaleClass A Common Stock 42,800 $18.13 $775,964.00
Disclosure

SEC source: 0001317423-17-000007 · wf-form4_149504434622645.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: 4,095,430

F1 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $18.10 to $18.20. 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
May 15, 2017 Filed May 17, 2017 18:06 UTC SaleClass A Common Stock 10,700 $18.12 $193,884.00
Disclosure

SEC source: 0001317423-17-000007 · wf-form4_149504434622645.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: 4,138,230

F1 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $18.10 to $18.20. 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
May 08, 2017 Filed May 10, 2017 18:22 UTC SaleClass A Common Stock 16,500 $18.12 $298,980.00
Disclosure

SEC source: 0001317423-17-000005 · wf-form4_149444053475392.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: 4,148,930

F2 · shares: The price reported in Column 4 is a weighted-average price. The prices actually received range from $18.10 to $18.20. 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.

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
April 03, 2017 Filed Apr 5, 2017 20:57 UTC
Howell Joseph H.Executive VP
ConversionClass B Common Stock · Derivative 24,000 $0.00 $0.00
Disclosure

SEC source: 0001624105-17-000010 · wf-form4_149142582033623.xml · derivative · entry 5

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 641,772

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.

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
April 03, 2017 Filed Apr 5, 2017 20:57 UTC
Howell Joseph H.Executive VP
SaleClass A Common Stock 24,000 $15.63 $375,120.00
Disclosure

SEC source: 0001624105-17-000010 · wf-form4_149142582033623.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 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $15.40 to $15.75. 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
April 03, 2017 Filed Apr 5, 2017 20:57 UTC
Howell Joseph H.Executive VP
ConversionClass A Common Stock 24,000 $0.00 $0.00
Disclosure

SEC source: 0001624105-17-000010 · wf-form4_149142582033623.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
February 28, 2017 Filed May 10, 2017 18:22 UTC GiftClass A Common Stock 125 $0.00 $0.00
Disclosure

SEC source: 0001317423-17-000005 · wf-form4_149444053475392.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: 4,165,430

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
February 24, 2017 Filed Feb 28, 2017 21:49 UTC
Howell Joseph H.Executive VP
SaleClass A Common Stock 982 $14.02 $13,767.64
Disclosure

SEC source: 0001624105-17-000008 · wf-form4_148831852295127.xml · nonDerivative · entry 1

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.

F2 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $14.00 to $14.05. 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
February 06, 2017 Filed Feb 7, 2017 18:27 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
Tax withholdingClass A Common Stock 6,394 $12.85 $82,162.90
Disclosure

SEC source: 0001014008-17-000004 · wf-form4_148651005861822.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,583

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 06, 2017 Filed Feb 7, 2017 23:12 UTC
RIZAI MATTHEW MDirector · Chairman & CEO · 10% owner
Tax withholdingClass A Common Stock 24,305 $12.85 $312,319.25
Disclosure

SEC source: 0001624785-17-000009 · wf-form4_148650912637469.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,514

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 06, 2017 Filed Feb 7, 2017 23:27 UTC
VANDERPLOEG MARTIN J.Director · President & COO · 10% owner
Tax withholdingClass A Common Stock 16,409 $12.85 $210,855.65
Disclosure

SEC source: 0001014008-17-000002 · wf-form4_148651002414665.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,410

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 06, 2017 Filed Feb 7, 2017 23:27 UTC
Calkins Troy M.Executive VP, Secretary & GC
Tax withholdingClass A Common Stock 9,140 $12.85 $117,449.00
Disclosure

SEC source: 0001014008-17-000003 · wf-form4_148651004281885.xml · nonDerivative · entry 1

Calkins Troy M. · CIK 0001623840 · Executive VP, Secretary & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,697

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 06, 2017 Filed Feb 7, 2017 23:28 UTC
Howell Joseph H.Executive VP
Tax withholdingClass A Common Stock 1,089 $12.85 $13,993.65
Disclosure

SEC source: 0001014008-17-000006 · wf-form4_148651009039411.xml · nonDerivative · entry 1

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,048

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 06, 2017 Filed Feb 7, 2017 23:28 UTC
Miller J StuartExecutive VP, Treasurer & CFO
Tax withholdingClass A Common Stock 9,140 $12.85 $117,449.00
Disclosure

SEC source: 0001014008-17-000005 · wf-form4_148651007433679.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,717

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 06, 2017 Filed Feb 7, 2017 23:12 UTC
Sellberg Michael S.Executive VP & CPO
Tax withholdingClass A Common Stock 6,394 $12.85 $82,162.90
Disclosure

SEC source: 0001624785-17-000008 · wf-form4_148650911104199.xml · nonDerivative · entry 1

Sellberg Michael S. · CIK 0001624785 · Executive VP & CPO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,237

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

Read SEC document
February 01, 2017 Filed Feb 3, 2017 18:04 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
GrantEmployee Stock Option to Purchase Class A Common Stock · Derivative 25,215 Not disclosed Strike: $12.40 Not disclosed
Disclosure

SEC source: 0001013632-17-000010 · wf-form4_148616308597151.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,215

Underlying: Class A Common Stock · 25,215 shares

Expires 2027-02-01

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 in three equal annual installments commencing on the first anniversary of the grant date.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 23:06 UTC
VANDERPLOEG MARTIN J.Director · President & COO · 10% owner
GrantEmployee Stock Option to Purchase Class A Common Stock · Derivative 200,204 Not disclosed Strike: $12.40 Not disclosed
Disclosure

SEC source: 0001013632-17-000016 · wf-form4_148616318217128.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,204

Underlying: Class A Common Stock · 200,204 shares

Expires 2027-02-01

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 in three equal annual installments commencing on the first anniversary of the grant date.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 23:06 UTC
RIZAI MATTHEW MDirector · Chairman & CEO · 10% owner
GrantEmployee Stock Option to Purchase Class A Common Stock · Derivative 200,204 Not disclosed Strike: $12.40 Not disclosed
Disclosure

SEC source: 0001013632-17-000014 · wf-form4_148616314933795.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,204

Underlying: Class A Common Stock · 200,204 shares

Expires 2027-02-01

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 in three equal annual installments commencing on the first anniversary of the grant date.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 23:06 UTC
Howell Joseph H.Executive VP
GrantEmployee Stock Option to Purchase Class A Common Stock · Derivative 5,403 Not disclosed Strike: $12.40 Not disclosed
Disclosure

SEC source: 0001013632-17-000015 · wf-form4_148616316496399.xml · derivative · entry 4

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,403

Underlying: Class A Common Stock · 5,403 shares

Expires 2027-02-01

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 in three equal annual installments commencing on the first anniversary of the grant date.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 23:06 UTC
Klindt JillVP & CAO
GrantEmployee Stock Option to Purchase Class A Common Stock · Derivative 10,000 Not disclosed Strike: $12.40 Not disclosed
Disclosure

SEC source: 0001013632-17-000017 · wf-form4_148616320018081.xml · derivative · entry 2

Klindt Jill · CIK 0001626102 · VP & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Class A Common Stock · 10,000 shares

Expires 2027-02-01

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 as to 6.25% of the shares at the end of each three-month period thereafter.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 23:05 UTC
Sellberg Michael S.Executive VP & CPO
GrantEmployee Stock Option to Purchase Class A Common Stock · Derivative 21,613 Not disclosed Strike: $12.40 Not disclosed
Disclosure

SEC source: 0001013632-17-000013 · wf-form4_148616313342243.xml · derivative · entry 2

Sellberg Michael S. · CIK 0001624785 · Executive VP & CPO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,613

Underlying: Class A Common Stock · 21,613 shares

Expires 2027-02-01

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 in three equal annual installments commencing on the first anniversary of the grant date.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 23:05 UTC
Calkins Troy M.Executive VP, Secretary & GC
GrantEmployee Stock Option to Purchase Class A Common Stock · Derivative 37,407 Not disclosed Strike: $12.40 Not disclosed
Disclosure

SEC source: 0001013632-17-000012 · wf-form4_148616311747069.xml · derivative · entry 2

Calkins Troy M. · CIK 0001623840 · Executive VP, Secretary & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,407

Underlying: Class A Common Stock · 37,407 shares

Expires 2027-02-01

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 in three equal annual installments commencing on the first anniversary of the grant date.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 23:05 UTC
Miller J StuartExecutive VP, Treasurer & CFO
GrantEmployee Stock Option to Purchase Class A Common Stock · Derivative 37,407 Not disclosed Strike: $12.40 Not disclosed
Disclosure

SEC source: 0001013632-17-000011 · wf-form4_148616310133159.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,407

Underlying: Class A Common Stock · 37,407 shares

Expires 2027-02-01

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 in three equal annual installments commencing on the first anniversary of the grant date.

Read SEC document
January 18, 2017 Filed Jan 20, 2017 18:17 UTC
TROM JEFF D.Executive VP & CTO · 10% owner
GrantClass A Common Stock 35,263 $0.00 $0.00
Disclosure

SEC source: 0001013632-17-000001 · wf-form4_148495420826539.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,977

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.

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

Read SEC document
January 18, 2017 Filed Jan 20, 2017 23:18 UTC
RIZAI MATTHEW MDirector · Chairman & CEO · 10% owner
GrantClass A Common Stock 93,328 $0.00 $0.00
Disclosure

SEC source: 0001013631-17-000001 · wf-form4_148495427541493.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,819

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.

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

Read SEC document
January 18, 2017 Filed Jan 20, 2017 23:24 UTC
VANDERPLOEG MARTIN J.Director · President & COO · 10% owner
GrantClass A Common Stock 93,328 $0.00 $0.00
Disclosure

SEC source: 0001014008-17-000001 · wf-form4_148495466890313.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,819

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.

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

Read SEC document
January 18, 2017 Filed Jan 20, 2017 23:25 UTC
Howell Joseph H.Executive VP
GrantClass A Common Stock 7,556 $0.00 $0.00
Disclosure

SEC source: 0001624105-17-000005 · wf-form4_148495472647838.xml · nonDerivative · entry 1

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,137

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.

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

Read SEC document
January 18, 2017 Filed Jan 20, 2017 23:23 UTC
Sellberg Michael S.Executive VP & CPO
GrantClass A Common Stock 30,226 $0.00 $0.00
Disclosure

SEC source: 0001624785-17-000001 · wf-form4_148495460342084.xml · nonDerivative · entry 1

Sellberg Michael S. · CIK 0001624785 · Executive VP & CPO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,631

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.

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

Read SEC document
January 18, 2017 Filed Jan 20, 2017 23:22 UTC
Calkins Troy M.Executive VP, Secretary & GC
GrantClass A Common Stock 52,313 $0.00 $0.00
Disclosure

SEC source: 0001623840-17-000001 · wf-form4_148495454276609.xml · nonDerivative · entry 1

Calkins Troy M. · CIK 0001623840 · Executive VP, Secretary & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,837

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.

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

Read SEC document
January 18, 2017 Filed Jan 20, 2017 23:19 UTC
Miller J StuartExecutive VP, Treasurer & CFO
GrantClass A Common Stock 52,313 $0.00 $0.00
Disclosure

SEC source: 0001623880-17-000003 · wf-form4_148495436618421.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,857

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.

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

Read SEC document
January 11, 2017 Filed Jan 13, 2017 23:03 UTC
Howell Joseph H.Executive VP
SaleClass A Common Stock 910 $14.01 $12,749.10
Disclosure

SEC source: 0001624105-17-000004 · wf-form4_148434857697694.xml · nonDerivative · entry 1

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 982

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 $14.00 to $14.05. 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
January 05, 2017 Filed Jan 9, 2017 23:10 UTC
Howell Joseph H.Executive VP
ConversionClass B Common Stock · Derivative 24,000 $0.00 $0.00
Disclosure

SEC source: 0001624105-17-000002 · wf-form4_148400341176866.xml · derivative · entry 5

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 665,772

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
January 05, 2017 Filed Jan 9, 2017 23:10 UTC
Howell Joseph H.Executive VP
SaleClass A Common Stock 22,108 $14.01 $309,733.08
Disclosure

SEC source: 0001624105-17-000002 · wf-form4_148400341176866.xml · nonDerivative · entry 2

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 1,892

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 $14.00 to $14.05. 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
January 05, 2017 Filed Jan 9, 2017 23:10 UTC
Howell Joseph H.Executive VP
ConversionClass A Common Stock 24,000 $0.00 $0.00
Disclosure

SEC source: 0001624105-17-000002 · wf-form4_148400341176866.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
January 03, 2017 Filed Jan 6, 2017 22:21 UTC
Miller J StuartExecutive VP, Treasurer & CFO
OtherEmployee Stock Option to Purchase Class A Common Stock · Derivative 550 Not disclosed Strike: $13.55 Not disclosed
Disclosure

SEC source: 0001623880-17-000002 · wf-form4_148374126149501.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Child

Disclosed balance after: 550

Underlying: Class A Common Stock · 550 shares

Expires 2027-01-03

F1 · kind: Grant of stock option approved by the Chief Executive Officer pursuant to the 2014 Equity Incentive Plan.

F1 · price: Grant of stock option approved by the Chief Executive Officer pursuant to the 2014 Equity Incentive Plan.

F2 · derivative.exercise_date: Vests as to 25% of the shares on December 5, 2017 and then 6.25% of the shares at the end of each three-month period thereafter.

F3 · balance_after: Reporting Person disclaims beneficial ownership in shares owned by child who shares Reporting Person's household. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

Read SEC document
December 13, 2016 Filed Feb 10, 2017 16:43 UTC GiftClass A Common Stock 180 $0.00 $0.00
Disclosure

SEC source: 0001317423-17-000003 · wf-form5_148674500663021.xml · nonDerivative · entry 3

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Behar Living Trust · CIK 0001627563 · 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: 4,165,555

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 settlors of the Behar Living Trust.

Read SEC document
December 12, 2016 Filed Feb 10, 2017 16:43 UTC GiftClass A Common Stock 40 $0.00 $0.00
Disclosure

SEC source: 0001317423-17-000003 · wf-form5_148674500663021.xml · nonDerivative · entry 2

Behar Jerome M · CIK 0001317423 · 10% owner

Behar Leslie F. · CIK 0001627514 · 10% owner

Behar Living Trust · CIK 0001627563 · 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: 4,165,735

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 settlors of the Behar Living Trust.

Read SEC document
November 30, 2016 Filed Dec 2, 2016 22:10 UTC SaleClass A Common Stock 5,000 $15.05 $75,250.00
Disclosure

SEC source: 0001628280-16-021777 · wf-form4_148071664129151.xml · nonDerivative · entry 1

Katz Eugene S · CIK 0001386894 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,243

Read SEC document
November 14, 2016 Filed Nov 16, 2016 23:23 UTC
VANDERPLOEG MARTIN J.Director · President & COO · 10% owner
ConversionClass B Common Stock · Derivative 75,000 $0.00 $0.00
Disclosure

SEC source: 0001013631-16-000029 · wf-form4_147933860311327.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: 2,639,248

Underlying: Class A Common Stock · 75,000 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.

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
November 14, 2016 Filed Nov 16, 2016 23:23 UTC
VANDERPLOEG MARTIN J.Director · President & COO · 10% owner
ConversionClass A Common Stock 75,000 $0.00 $0.00
Disclosure

SEC source: 0001013631-16-000029 · wf-form4_147933860311327.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: 350,000

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 14, 2016 Filed Nov 16, 2016 23:23 UTC
RIZAI MATTHEW MDirector · Chairman & CEO · 10% owner
GiftClass B Common Stock · Derivative 76,000 $0.00 $0.00
Disclosure

SEC source: 0001013631-16-000028 · wf-form4_147933858538046.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By family trusts

Disclosed balance after: 201,630

Underlying: Class A Common Stock · 76,000 shares

Expires not disclosed

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
November 14, 2016 Filed Nov 16, 2016 23:23 UTC
RIZAI MATTHEW MDirector · Chairman & CEO · 10% owner
GiftClass B Common Stock · Derivative 114,000 $0.00 $0.00
Disclosure

SEC source: 0001013631-16-000028 · wf-form4_147933858538046.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 1,292,058

Underlying: Class A Common Stock · 114,000 shares

Expires not disclosed

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
October 03, 2016 Filed Oct 5, 2016 20:38 UTC
Howell Joseph H.Executive VP
ConversionClass B Common Stock · Derivative 24,000 $0.00 $0.00
Disclosure

SEC source: 0001624105-16-000020 · wf-form4_147569991101708.xml · derivative · entry 5

Howell Joseph H. · CIK 0001624105 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Indirect · By living trust

Disclosed balance after: 689,772

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
October 03, 2016 Filed Oct 5, 2016 20:38 UTC
Howell Joseph H.Executive VP
SaleClass A Common Stock 24,000 $17.61 $422,544.00
Disclosure

SEC source: 0001624105-16-000020 · wf-form4_147569991101708.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 31, 2015.

F2 · price: The price reported in Column 4 is a weighted-average price. The prices actually received range from $17.29 to $18.04. 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
October 03, 2016 Filed Oct 5, 2016 20:38 UTC
Howell Joseph H.Executive VP
ConversionClass A Common Stock 24,000 $0.00 $0.00
Disclosure

SEC source: 0001624105-16-000020 · wf-form4_147569991101708.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
September 02, 2016 Filed Sep 6, 2016 15:38 UTC SaleClass A Common Stock 79,910 $18.04 $1,441,656.31
Disclosure

SEC source: 0001317423-16-000023 · wf-form4_147317632719461.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: 4,167,925

F3 · security: The price reported in Column 4 is a weighted-average price. The prices actually received range from $17.92 to $18.16. 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 settlors of the Behar Living Trust.

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.